News and Resources

White Papers

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White Paper

Overview of Fund Governance Practices, 1994–2020 (pdf)

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White Paper

Protecting Nonpublic Personal Information in a Data-Driven Distribution Model (pdf)

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White Paper

529 Plan Use Within Advisory Programs (pdf)

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White Paper

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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White Paper

Mutual Fund Share Class Conversions: A Matrix of Possibilities (pdf)