Home Industry Operations Operations, Transfer Agent Servicing, and Recordkeeping Intermediary Oversight
- Evaluating Swing Pricing: Operational Considerations (pdf)
Nov 30, 2016
- Operational Process Flows and Considerations Related to Dealer/Custodian Resignations in Response to the Fiduciary Rule (pdf)
Oct 25, 2016
- Know Your Distributor Questionnaire (docx)
Sep 20, 2016
- DOL Fiduciary Duty Rule Resource Center
- The Evolution of the Financial Intermediary Controls and Compliance Assessment (pdf)
Aug 19, 2016
- Financial Intermediary Controls and Compliance Assessment Engagements (pdf)
Dec 14, 2015
- ICI Submits Comment Letter in Response to FINRA's Rule 2210 BrokerCheck Proposal (pdf)
Jun 17, 2014
- ICI Files Comment Letter on FINRA Review of Its Non-Cash Compensation Rule (pdf)
May 23, 2014
- Updated FICCA Framework Makes Auditing Omnibus Accounts Easier, More EfficientJan 27, 2014
- ICI Releases Updated Framework for Fund Industry Intermediary Oversight
Jan 24, 2014
- ICI Files Comment Letter with SEC on FINRA's Proposed Consolidated Supervisory Rules (pdf)
Jul 29, 2013
- Comment Letter to SEC in Response to RFI on Possible Fiduciary Duty for Broker-Dealers and IA-BD Harmonization (pdf)
Jul 3, 2013
- Navigating Intermediary Relationships (pdf)
Sep 30, 2009
