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  • Fund Accounting, Financial Reporting, and Valuation
  • Fund Distribution, Fund Clearance, and Settlement
  • Operations, Transfer Agent Servicing, and Recordkeeping
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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
  • Indication of Death: Common Industry Practices (pdf)
    Nov 13, 2017

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Anti-Money Laundering and Customer Due Diligence
  • Focus on Funds: Funds Step Up Fight Against Elder Abuse and Fraud
    Jun 19, 2020
  • Focus on Funds: Elder Abuse and Exploitation a Growing Industry Concern
    Jan 5, 2018

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Electronic Communications and Recordkeeping
  • ICI Letter to SEC on Electronic Delivery (pdf)
    Sep 10, 2020
  • Focus on Funds: New Tool Eases Global Distribution Challenges
    Aug 14, 2020
  • Focus on Funds: Digital Trend Continues to Transform Investor Communications
    Jun 26, 2020
  • ICI Applauds Approval of Labor Department E-Delivery Rule
    May 21, 2020
  • Focus on Funds: Data Science Is Changing Fund Management
    Sep 13, 2019

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FATCA

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Identity Theft, Red Flag Rules, and Privacy
  • Focus on Funds: Funds Step Up Fight Against Elder Abuse and Fraud
    Jun 19, 2020
  • Focus on Funds: Elder Abuse and Exploitation a Growing Industry Concern
    Jan 5, 2018

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Intermediary Oversight
  • Financial Intermediary Controls and Compliance Assessment Engagements (pdf)
    Aug 5, 2020
  • Evaluating Swing Pricing: Operational Considerations (pdf)
    Nov 30, 2016
  • Know Your Distributor Questionnaire (docx)
    Sep 20, 2016
  • DOL Fiduciary Duty Rule Resource Center

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Money Market Funds
  • Money Market Fund Resource Center
  • ICI Joins Letter to CFTC and US Prudential Regulators Advocating for Broader Use of MMFs as Collateral for Uncleared Derivatives (pdf)
    Aug 1, 2019
  • Focus on Funds: Understanding Cryptocurrencies and Investing
    Apr 13, 2018
  • Money Market Funds: FAQs
    Jan 22, 2018
  • ICI Global Letter on ESMA's Money Market Funds Consultation Paper (pdf)
    Aug 4, 2017

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Retirement Plans
  • Policy Work on Retirement Issues

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