Intermediary Oversight
Intermediary Oversight
ICI Comment Letter on Treasury's Request for Information on Uses, Opportunities, and Risks of Artificial Intelligence in the Financial Services Sector
On August 12, 2024, ICI submitted a comment letter to the US Department of the Treasury ("Treasury")...
Navigating Intermediary Relationships (pdf)
ICI Comment Letter to SEC on Outsourcing by Investment Advisers Proposal
On December 23, 2022, the ICI filed a comment letter with the Securities and Exchange Commission on...
ICI Comment Letter on Certain Information Providers Acting as Investment Advisers
In June, the SEC issued a request for comment on index providers, model portfolio providers, and...
Financial Intermediary Controls and Compliance Assessment Engagements (pdf)
The Evolution of the Financial Intermediary Controls and Compliance Assessment (pdf)
ICI Submits Comment Letter in Response to FINRA's Rule 2210 BrokerCheck Proposal (pdf)
ICI Files Comment Letter on FINRA Review of Its Non-Cash Compensation Rule (pdf)
ICI Releases Updated Framework for Fund Industry Intermediary Oversight
ICI Releases Updated Framework for Fund Industry Intermediary Oversight Washington, DC, January 24...