Servicing and Recordkeeping

ICI Global Comment Letter to SEBI re FPI BO and SMO Requirements (pdf)

Focus on Funds: Funds Step Up Fight Against Elder Abuse and Fraud

June 19, 2020—As the global coronavirus pandemic has made some fund investors more vulnerable to...

Focus on Funds: Elder Abuse and Exploitation a Growing Industry Concern

Focus on Funds Elder Abuse and Exploitation a Growing Industry Concern ICI is teaming up with...

ICI Comment Letter on FinCEN Customer Due Diligence Proposal (pdf)

ICI Global Comment Letter on Implementing Regulation Under MiFID II and MiFIR (pdf)

ICI Comments on Proposed Measures Relating to General Solicitation and Advertising for Private Funds (pdf)

ICI and ICI Global Submit Comment Letter on EU Clearing Obligation (pdf)

ICI Letter on CFTC's Proposal to Enhance Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations (pdf)

Application of NFA Rules to Registered Investment Companies Unable to Rely on CFTC Rule 4.5 and their Advisers (pdf)

ICI's Comment Letter on SEC Regulatory Initiatives Under Title II of the JOBS Act (pdf)

Written Testimony for House Hearing: The Impact of Dodd-Frank on Customers, Credit, and Job Creators (pdf)

ICI Submits Advance Comments on JOBS Act Rulemaking (pdf)

ICI Comment Letter on FinCEN's Advance Notice of Proposed Rulemaking on Possible Customer Due Diligence Obligation for Financial Institutions (pdf)

ICI Files Comment Letter and Cost-Benefit Analysis on CFTC Rule 4.5 Harmonization Proposal (pdf)

ICI Global Comment Letter on Volcker Rule (pdf)