Home Industry Operations Operations, Transfer Agent Servicing, and Recordkeeping Anti-Money Laundering & Customer Due Diligence
- 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 InformationApr 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
