Home Industry Operations Operations, Transfer Agent Servicing, and Recordkeeping Intermediary Oversight
- Evaluating Swing Pricing: Operational Considerations (pdf)
Wed Nov 30 00:00:00 EST 2016
- Operational Process Flows and Considerations Related to Dealer/Custodian Resignations in Response to the Fiduciary Rule (pdf)
Tue Oct 25 00:00:00 EDT 2016
- Know Your Distributor Questionnaire (docx)
Tue Sep 20 00:00:00 EDT 2016
- DOL Fiduciary Duty Rule Resource Center
- The Evolution of the Financial Intermediary Controls and Compliance Assessment (pdf)
Fri Aug 19 00:00:00 EDT 2016
- Financial Intermediary Controls and Compliance Assessment Engagements (pdf)
Mon Dec 14 00:00:00 EST 2015
- ICI Submits Comment Letter in Response to FINRA's Rule 2210 BrokerCheck Proposal (pdf)
Tue Jun 17 00:00:00 EDT 2014
- ICI Files Comment Letter on FINRA Review of Its Non-Cash Compensation Rule (pdf)
Fri May 23 00:00:00 EDT 2014
- Updated FICCA Framework Makes Auditing Omnibus Accounts Easier, More EfficientJan 27, 2014
- ICI Releases Updated Framework for Fund Industry Intermediary Oversight
Fri Jan 24 00:00:00 EST 2014
- Overview of Fund Governance Practices, 1994-2012 (pdf)
Mon Sep 30 00:00:00 EDT 2013
- ICI Files Comment Letter with SEC on FINRA's Proposed Consolidated Supervisory Rules (pdf)
Mon Jul 29 00:00:00 EDT 2013
- Comment Letter to SEC in Response to RFI on Possible Fiduciary Duty for Broker-Dealers and IA-BD Harmonization (pdf)
Wed Jul 03 00:00:00 EDT 2013
- Navigating Intermediary Relationships (pdf)
Wed Sep 30 00:00:00 EDT 2009
