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
Anti-Money Laundering and Customer Due Diligence
Electronic Communications and Recordkeeping
- 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
- ICI Files Comment Letter on SEC's Closed-End Fund Offering Reform Proposal (pdf)
Jun 10, 2019
- Focus on Funds: Time to Bring Shareholder Report Delivery into the 21st Century
Apr 6, 2018
FATCA
Identity Theft, Red Flag Rules, and Privacy
Intermediary Oversight
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
Retirement Plans
