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  • Fund Accounting, Financial Reporting, and Valuation
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Home Industry Operations Operations, Transfer Agent Servicing, and Recordkeeping Intermediary Oversight

  • Financial Intermediary Controls and Compliance Assessment Engagements (pdf)
    Aug 5, 2020
  • Evaluating Swing Pricing: Operational Considerations (pdf)
    Nov 30, 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
  • 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 Efficient
    Jan 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
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