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Comment Letter

ICI Comment Letter on the SEC's Rule 14a-8 Proposal

In July 2022, the SEC proposed amendments to Rule 14a-8 (the shareholder proposal rule) by a 3-2...
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Comment Letter

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...
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Comment Letter

Comment Letter on Remuneration Aspects of FCA's DP20/2: Prudential Requirements for MiFID Investment...

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White Paper

Financial Intermediary Controls and Compliance Assessment Engagements (pdf)

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Comment Letter

ICI Letter on SEC’s Concept Release on Securities Offering Exemptions (pdf)

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Video

Focus on Funds: Fund Directors and CCOs Work Together to Benefit Shareholders

Independent directors and chief compliance officers (CCOs) form an important team on behalf of fund...
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Comment Letter

ICI Submits Comment Letter on Proposed CFTC Capital Rules for Swap Dealers and Major Swap Participan...

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Comment Letter

ICI Submits Comment Letter on Proposed Amendments to FINRA Rule 2210 (pdf)

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Comment Letter

ICI Files Comment Letter on CFTC Recordkeeping Proposal (pdf)