White Papers
ICI Papers
White Paper
When I’m 64 (or Thereabouts): Changes in Income from Middle Age to Old Age (pdf)
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Imagine All the People: Using Tax Data to Build a Representative Sample of the US Population (pdf)
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Board Oversight of Derivatives (pdf)
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Navigating Intermediary Relationships (pdf)
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T+1 Securities Settlement Industry Implementation Playbook (pdf)
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T+1 Securities Settlement Industry Implementation Workbook (pdf)
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T+1 Securities Settlement Industry Implementation Workbook (xls)
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Fund Valuation Under the SEC’s New Fair Value Rule (pdf)
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Accelerating the US Securities Settlement Cycle to T+1
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Protecting Nonpublic Personal Information in a Data-Driven Distribution Model (pdf)
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Rule 17a-7 at the Crossroads: Supplemental Information on Equity Cross Trading (pdf)
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529 Plan Use Within Advisory Programs (pdf)
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Comparing the Current Population Survey to Income Tax Data (pdf)
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Financing a US Transition to a Sustainable Low-Carbon Economy (pdf)
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Reverse Distribution Mechanism and Negative Yields: Considerations and Recommended Practices (pdf)
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Consider This: Interval Fund Operational Practices (pdf)
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Financial Intermediary Controls and Compliance Assessment Engagements (pdf)
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Funds’ Use of ESG Integration and Sustainable Investing Strategies: An Introduction (pdf)
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Mutual Fund Share Class Conversions: A Matrix of Possibilities (pdf)
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Estimating Omnibus Account Dividend and Capital Gains Disbursements (pdf)
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The Myth of Under-Annuitization: Managing Income and Assets in Retirement (pdf)
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Recommendations Regarding the Availability of Closed-End Fund Takeover Defenses (pdf)
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Reconciling Form 1040 and Form 1099-R Data (pdf)
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Decoding Retirement: A Detailed Look at Retirement Distributions Reported on Tax Returns (pdf)
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Analysis of Fund Proxy Campaigns: 2012 Through 2019 (pdf)
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ICI Mutual: Shareholder Litigation in the Fund Industry: A Guide for Investment Advisers and Fund In...
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Interval Funds: Operational Challenges and the Industry’s Way Forward (pdf)
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Operational Process Flows and Considerations Related to Dealer/Custodian Resignations (pdf)
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Indication of Death: Common Industry Practices (pdf)
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Overview of Fund Governance Practices, 1994–2016 (pdf)
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Understanding the Regulation of Exchange-Traded Funds Under the Securities Exchange Act of 1934 (pdf...
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Market Access for Regulated Fund Managers in the United States and European Union (pdf)
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Disclosure of Noncash Compensation and Third-Party Payments in Response to the DOL Fiduciary Rule (p...
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Operational Considerations of the DOL Fiduciary Rule for Accounts Held Direct-at-Fund (pdf)
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Evaluating Investor Communication Touchpoints in Response to the DOL Fiduciary Rule (pdf)
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Operational Process Flows and Considerations Related to Dealer/Custodian Resignations in Response to...
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The Evolution of the Financial Intermediary Controls and Compliance Assessment (pdf)
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Fund Governance: A Successful, Evolving Model (pdf)
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Event Processing Assumptions and Considerations (pdf)
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High-Level Process Flow: Intraday Floating NAVs (pdf)
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Floating NAV Intraday NAV Strike Considerations (pdf)
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Overview of Fund Governance Practices, 1994–2014 (pdf)
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The Federal Thrift Savings Plan: Can It Be Duplicated? (pdf)
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It's Time to Reform Escheatment of Mutual Fund Shares (pdf)
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SEC Valuation and Liquidity Guidance for Registered Investment Companies, Volume I (pdf)
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SEC Valuation and Liquidity Guidance for Registered Investment Companies, Volume II (pdf)
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The Role and Activities of Authorized Participants of Exchange-Traded Funds (pdf)
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Report on Funds’ Use of Proxy Advisory Firms (pdf)
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Mutual Fund Prospectus Liability (pdf)
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Independent Directors Liability (IDL) Insurance (pdf)
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Mutual Fund D&O/E&O Insurance (pdf)
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Investment Performance Oversight by Fund Boards (pdf)
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Overview of Fund Governance Practices, 1994–2012 (pdf)
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The Success of the U.S. Retirement System (pdf)
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Board Oversight of Exchange-Traded Funds (pdf)
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Audit Committee Annual Evaluation of the External Auditor (pdf)
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The Tax Benefits and Revenue Costs of Tax Deferral (pdf)
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Operational Impacts of Proposed Redemption Restrictions on Money Market Funds (pdf)
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The Implications of Capital Buffer Proposals for Money Market Funds (pdf)
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Overview of Fund Governance Practices, 1994–2010 (pdf)
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Fund Board Oversight of Risk Management (pdf)
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Delivering ERISA Disclosure for Defined Contribution Plans (pdf)
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Disclosure of the Role of the Board in Risk Oversight: Samples of Fund SAI Disclosure (pdf)
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Money Market Mutual Funds: The Case Against Floating the Net Asset Value (Blackrock, pdf)
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Board Oversight of Subadvisers (pdf)
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Overview of Fund Governance Practices, 1994–2008 (pdf)
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Board Oversight of Fund Compliance (pdf)
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Principles to Enhance Understanding of Target Date Funds (pdf)
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Report of the Money Market Working Group (pdf)
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Report of the Money Market Working Group: Summary Recommendations (pdf)
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Financial Services Regulatory Reform: Discussion and Recommendations (pdf)
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Oversight of Fund Proxy Voting (pdf)
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Investor Views on the U.S. Securities and Exchange Commission's Proposed Summary Prospectus (pdf)
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Overview of Fund Governance Practices, 1994–2006 (pdf)
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Chief Risk Officers in the Mutual Fund Industry: Who Are They and What Is Their Role Within the Orga...
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Board Oversight of Certain Service Providers (pdf)
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Report of the Working Group on Rule 12b-1 (pdf)
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History of 12b-1 Fees, Appendix II of the Working Group Report (pdf)
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A Review of the SEC Office of Economic Analysis Board Independence Studies (pdf)
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ICI Policy Statement on Retirement Plan Disclosure (pdf)
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ICI Mutual: Independent Director Litigation Risk: A Practical Guide (pdf)
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Board Consideration of Fund Mergers (pdf)
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Fair Valuation Series: The Role of the Board (pdf)
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Mutual Funds and Institutional Accounts: A Comparison (pdf)
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Overview of Fund Governance Practices, 1994–2004 (pdf)
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Assessing the Adequacy and Effectiveness of a Fund's Compliance Policies and Procedures (pdf)
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Highlights of ICI Accomplishments and Activities, 1940 - 2005 (pdf), December 2005
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Fair Valuation Series: An Introduction to Fair Valuation (pdf)
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Director Oversight of Multiple Funds (pdf)
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Board Self-Assessments: Seeking to Improve Mutual Fund Board Effectiveness (pdf)
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Implementing the Independent Chairperson Requirement (pdf)
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Investment Company Institute Accomplishments and Recent Activities (pdf), May 2004
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Global Corporate Governance Issues for Mutual Funds (pdf), October 2000
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Investment Advisers in the Internet Age
Roundtable on Investment Adviser Regulatory Issues Technology and Investment Adviser Regulation...
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Investment Advisers in the Internet Age
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Report of the Advisory Group on Best Practices for Fund Directors (pdf)
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Reducing the Tax Burden on Saving (pdf)
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Comments on the Parallel Banking System (pdf)
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