Home Publications & Resources White Papers
- Financial Intermediary Controls and Compliance Assessment Engagements (pdf)
Aug 5, 2020
- Funds’ Use of ESG Integration and Sustainable Investing Strategies: An Introduction (pdf)
Jul 23, 2020
- Mutual Fund Share Class Conversions: A Matrix of Possibilities (pdf)
May 26, 2020
- Estimating Omnibus Account Dividend and Capital Gains Disbursements (pdf)
May 19, 2020
- The Myth of Under-Annuitization: Managing Income and Assets in Retirement (pdf)
Apr 13, 2020
- Recommendations Regarding the Availability of Closed-End Fund Takeover Defenses (pdf)
Mar 12, 2020
- Analysis of Fund Proxy Campaigns: 2012 Through 2019 (pdf)
Dec 20, 2019
- Overview of Fund Governance Practices, 1994–2018 (pdf)
Oct 10, 2019
- Interval Funds: Operational Challenges and the Industry’s Way Forward (pdf)
Jun 3, 2019
- Operational Process Flows and Considerations Related to Dealer/Custodian Resignations (pdf)
Feb 26, 2019
- Mutual Fund Investors’ Views on Shareholder Reports: Reactions to a Summary Shareholder Report Prototype (pdf)
Oct 24, 2018
- Breaching the Debt Limit: Operational Considerations (pdf)
Dec 5, 2017
- Indication of Death: Common Industry Practices (pdf)
Nov 13, 2017
- Overview of Fund Governance Practices, 1994-2016 (pdf)
Oct 11, 2017
- Understanding the Regulation of Exchange-Traded Funds Under the Securities Exchange Act of 1934 (pdf)
Aug 10, 2017
- Evaluating Swing Pricing: Operational Considerations Addendum (pdf)
Jun 7, 2017
- Market Access for Regulated Fund Managers in the United States and European Union (pdf)
Mar 23, 2017
- 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
- The Evolution of the Financial Intermediary Controls and Compliance Assessment (pdf)
Aug 19, 2016
- Fund Governance: A Successful, Evolving Model (pdf)
Jun 29, 2016
- SEC Valuation and Liquidity Guidance for Registered Investment Companies, Volume I (pdf)
Jul 14, 2015
- SEC Valuation and Liquidity Guidance for Registered Investment Companies, Volume II (pdf)
Jul 14, 2015
- The Role and Activities of Authorized Participants of Exchange-Traded Funds (pdf)
Mar 16, 2015
- Report on Funds’ Use of Proxy Advisory Firms (pdf)
Jan 22, 2015
- Summary: Our Strong Retirement System: An American Success Story (pdf)
Dec 4, 2013
- Our Strong Retirement System: An American Success Story (pdf)
Dec 4, 2013
- The Success of the U.S. Retirement System (pdf)
Dec 5, 2012
- The Tax Benefits and Revenue Costs of Tax Deferral (pdf)
Sep 11, 2012
- Operational Impacts of Proposed Redemption Restrictions on Money Market Funds (pdf)
Jun 20, 2012
- Fund Board Oversight of Risk Management (pdf)
Sep 30, 2011
- Navigating Intermediary Relationships (pdf)
Sep 30, 2009
- Financial Services Regulatory Reform: Discussion and Recommendations (pdf)
Mar 2, 2009
- Oversight of Fund Proxy Voting (pdf)
Jul 10, 2008
- Chief Risk Officers in the Mutual Fund Industry: Who Are They and What Is Their Role Within the Organization? (pdf)
Aug 7, 2007
- Report of the Working Group on Rule 12b-1 (pdf)
May 30, 2007
- A Review of the SEC Office of Economic Analysis Board Independence Studies (pdf)
Mar 2, 2007
- ICI Policy Statement on Retirement Plan Disclosure (pdf)
Feb 2, 2007
- Costs of Eliminating Discretionary Broker Voting on Uncontested Elections of Investment Company Directors (pdf)
Dec 21, 2006
- Fair Valuation Series: The Role of the Board (pdf)
Jan 26, 2006
- Mutual Funds and Institutional Accounts: A Comparison (pdf)
Jan 26, 2006
- Assessing the Adequacy and Effectiveness of a Fund's Compliance Policies and Procedures (pdf)
Dec 15, 2005
- Fair Valuation Series: An Introduction to Fair Valuation (pdf)
Jun 10, 2005
- Study Concludes Fair Valuation, Redemption Fees Necessary to Prevent Market Timing (pdf)
Oct 21, 2004
- Global Corporate Governance Issues for Mutual Funds (pdf), October 2000
Oct 1, 2000
- An Investment Company Director's Guide to Oversight of Codes of Ethics and Personal Investing (pdf)
Jul 1, 2000
- Investment Advisers in the Internet Age
May 23, 2000
- Report of the Advisory Group on Best Practices for Fund Directors (pdf)
Jun 24, 1999
- Report of the Advisory Group on Personal Investing (pdf), May 1994
May 9, 1994
