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Home Publications & Resources White Papers

  • 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
  • Financial Intermediary Controls and Compliance Assessment Engagements (pdf)
    Dec 14, 2015
  • 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
  • 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

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