Distribution
Distribution
ICI Comment Letter on Proposed Amendments to FINRA Rule 2210
Last month, FINRA filed with the SEC proposed amendments to Rule 2210 (Communications with the...
Investment Funds Distributor Due Diligence Questionnaire (pdf)
Focus on Funds: New Tool Eases Global Distribution Challenges
Amid increasing regulatory pressures, funds and their distributors have a new, more efficient, and...
Financial Intermediary Controls and Compliance Assessment Engagements (pdf)
Focus on Funds: Old Approaches to Fund Distribution Give Way to New Strategies
Focus on Funds Old Approaches to Fund Distribution Give Way to New Strategies In the August 16, 2019...
Operational Process Flows and Considerations Related to Dealer/Custodian Resignations (pdf)
Focus on Funds: Fund Industry Is Swiftly Changing
Focus on Funds Fund Industry Is Swiftly Changing The American fund industry is undergoing...
The Evolution of the Financial Intermediary Controls and Compliance Assessment (pdf)
ICI Submits Comment Letter on FINRA's Retrospective Review of Communications with the Public Rules (pdf)
ICI Files Comment Letter on FINRA Review of Its Non-Cash Compensation Rule (pdf)
ICI Endorses Move to Shorten Settlement Cycles
Initiative to Reduce Systemic, Operational Risks Could Benefit Investors Washington, DC, February 18...