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  • Fund Accounting, Financial Reporting, and Valuation
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Home Industry Operations Operations, Transfer Agent Servicing, and Recordkeeping Anti-Money Laundering & 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
  • ICI Comment Letter on FinCEN Customer Due Diligence Proposal (pdf)
    Oct 2, 2014
  • ICI Global Comment Letter on Implementing Regulation Under MiFID II and MiFIR (pdf)
    Aug 1, 2014
  • ICI Global Comments on APEC Consultation Paper: Arrangements for an Asia Region Fund Passport (pdf)
    Jul 10, 2014
  • ICI Comments on Proposed Measures Relating to General Solicitation and Advertising for Private Funds (pdf)
    Sep 23, 2013
  • ICI and ICI Global Submit Comment Letter on EU Clearing Obligation (pdf)
    Sep 10, 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
  • Application of NFA Rules to Registered Investment Companies Unable to Rely on CFTC Rule 4.5 and their Advisers (pdf)
    Dec 28, 2012
  • U.S. District Court Rejects Challenge to CFTC Rule 4.5 Amendments (pdf)
    Dec 12, 2012
  • ICI's Comment Letter on SEC Regulatory Initiatives Under Title II of the JOBS Act (pdf)
    Aug 17, 2012
  • Written Testimony for House Hearing: The Impact of Dodd-Frank on Customers, Credit, and Job Creators (pdf)
    Jul 10, 2012
  • ICI Submits Advance Comments on JOBS Act Rulemaking (pdf)
    May 22, 2012
  • Investment Company Institute and U.S. Chamber v. CFTC: Plaintiffs' Motion of Summary Judgment (pdf)
    May 22, 2012
  • ICI Comment Letter on FinCEN's Advance Notice of Proposed Rulemaking on Possible Customer Due Diligence Obligation for Financial Institutions (pdf)
    May 4, 2012
  • Rulemaking Must Reflect Realities of Funds’ Access to Shareholder Information
    Apr 30, 2012
  • ICI Files Comment Letter and Cost-Benefit Analysis on CFTC Rule 4.5 Harmonization Proposal (pdf)
    Apr 24, 2012
  • ICI Global Comment Letter on Volcker Rule (pdf)
    Feb 14, 2012
  • ICI Files Comment Letter on "Volcker Rule" Proposal (pdf)
    Feb 13, 2012
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