Home Industry Operations Operations, Transfer Agent Servicing, and Recordkeeping
This page provides resources to help funds deliver products and services to investors as efficiently and effectively as possible, and to respond to regulatory and compliance challenges on a timely basis. It includes memos, comment letters, publications, and other resources about mutual fund transfer agency operational practices and procedures, shareholder recordkeeping and servicing, and intermediary oversight and servicing issues.
Abandoned Property and Escheatment
Anti-Money Laundering and Customer Due Diligence
Electronic Communications and Recordkeeping
- ICI Submits Comment Letter to SEC on NYSE Proposed Amendment to Fees for Shareholder Report Delivery (pdf)
Sep 12, 2016
- ICI Files Letter with SEC Recommending SEC Disapprove FINRA's Proposed Consolidated Supervisory Rules (pdf)
Oct 17, 2013
- ICI Files Comment Letter with the SEC on MSRB Proposed Rule G-45 and Form G-45 (pdf)
Jul 16, 2013
FATCA
Identity Theft, Red Flag Rules, and Privacy
- ICI Files Comment Letter with Department of Commerce Discussing Importance of Mutual Funds' Access to the Death Master File (pdf)
Mar 31, 2014
- ICI Files Comment Letter with SEC on FINRA's Proposed Consolidated Supervisory Rules (pdf)
Jul 29, 2013
- ICI Letter on CFTC's Proposal to Enhance Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations (pdf)
Jan 14, 2013
Intermediary Oversight
Money Market Funds
- Money Market Fund Resource Center
- Letter to IRS and Treasury Regarding Tax Treatment of Liquidity Fees (pdf)
Sep 8, 2016
- Money Market Fund Reform Implementation Resource Center
- ICI Submits Comment Letter to SEC on Proposed FINRA Rule Change Relating to the Reporting of U.S. Treasury Securities to TRACE (pdf)
Aug 15, 2016
Retirement Plans
