Home Publications & Resources White Papers
- Understanding the Regulation of Exchange-Traded Funds Under the Securities Exchange Act of 1934 (pdf)
Thu Aug 10 00:00:00 EDT 2017
- Evaluating Swing Pricing: Operational Considerations Addendum (pdf)
Wed Jun 07 00:00:00 EDT 2017
- Market Access for Regulated Fund Managers in the United States and European Union (pdf)
Thu Mar 23 00:00:00 EDT 2017
- 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
- The Evolution of the Financial Intermediary Controls and Compliance Assessment (pdf)
Fri Aug 19 00:00:00 EDT 2016
- Fund Governance: A Successful, Evolving Model (pdf)
Wed Jun 29 00:00:00 EDT 2016
- Financial Intermediary Controls and Compliance Assessment Engagements (pdf)
Mon Dec 14 00:00:00 EST 2015
- Overview of Fund Governance Practices, 1994-2014 (pdf)
Tue Oct 27 00:00:00 EDT 2015
- SEC Valuation and Liquidity Guidance for Registered Investment Companies, Volume I (pdf)
Tue Jul 14 00:00:00 EDT 2015
- SEC Valuation and Liquidity Guidance for Registered Investment Companies, Volume II (pdf)
Tue Jul 14 00:00:00 EDT 2015
- Report on Funds’ Use of Proxy Advisory Firms (pdf)
Thu Jan 22 00:00:00 EST 2015
- Summary: Our Strong Retirement System: An American Success Story (pdf)
Wed Dec 04 00:00:00 EST 2013
- Our Strong Retirement System: An American Success Story (pdf)
Wed Dec 04 00:00:00 EST 2013
- Overview of Fund Governance Practices, 1994-2012 (pdf)
Mon Sep 30 00:00:00 EDT 2013
- The Success of the U.S. Retirement System (pdf)
Wed Dec 05 00:00:00 EST 2012
- The Tax Benefits and Revenue Costs of Tax Deferral (pdf)
Tue Sep 11 00:00:00 EDT 2012
- Operational Impacts of Proposed Redemption Restrictions on Money Market Funds (pdf)
Wed Jun 20 00:00:00 EDT 2012
- Fund Board Oversight of Risk Management (pdf)
Fri Sep 30 00:00:00 EDT 2011
- Navigating Intermediary Relationships (pdf)
Wed Sep 30 00:00:00 EDT 2009
- Overview of Fund Governance Practices, 1994-2008 (pdf)
Wed Sep 30 00:00:00 EDT 2009
- Financial Services Regulatory Reform: Discussion and Recommendations (pdf)
Mon Mar 02 00:00:00 EST 2009
- Oversight of Fund Proxy Voting (pdf)
Thu Jul 10 00:00:00 EDT 2008
- Overview of Fund Governance Practices, 1994–2006 (pdf)
Wed Nov 07 00:00:00 EST 2007
- Chief Risk Officers in the Mutual Fund Industry: Who Are They and What Is Their Role Within the Organization? (pdf)
Tue Aug 07 00:00:00 EDT 2007
- Report of the Working Group on Rule 12b-1 (pdf)
Wed May 30 00:00:00 EDT 2007
- A Review of the SEC Office of Economic Analysis Board Independence Studies (pdf)
Fri Mar 02 00:00:00 EST 2007
- ICI Policy Statement on Retirement Plan Disclosure (pdf)
Fri Feb 02 00:00:00 EST 2007
- Costs of Eliminating Discretionary Broker Voting on Uncontested Elections of Investment Company Directors (pdf)
Thu Dec 21 00:00:00 EST 2006
- Fair Valuation Series: The Role of the Board (pdf)
Thu Jan 26 00:00:00 EST 2006
- Mutual Funds and Institutional Accounts: A Comparison (pdf)
Thu Jan 26 00:00:00 EST 2006
- Overview of Fund Governance Practices, 1994-2004 (pdf)
Wed Jan 11 00:00:00 EST 2006
- Assessing the Adequacy and Effectiveness of a Fund's Compliance Policies and Procedures (pdf)
Thu Dec 15 00:00:00 EST 2005
- Fair Valuation Series: An Introduction to Fair Valuation (pdf)
Fri Jun 10 00:00:00 EDT 2005
- Study Concludes Fair Valuation, Redemption Fees Necessary to Prevent Market Timing (pdf)
Thu Oct 21 00:00:00 EDT 2004
- Global Corporate Governance Issues for Mutual Funds (pdf), October 2000
Sun Oct 01 00:00:00 EDT 2000
- An Investment Company Director's Guide to Oversight of Codes of Ethics and Personal Investing (pdf)
Sat Jul 01 00:00:00 EDT 2000
- Investment Advisers in the Internet Age
Tue May 23 00:00:00 EDT 2000
- Report of the Advisory Group on Best Practices for Fund Directors (pdf)
Thu Jun 24 00:00:00 EDT 1999
