Abandoned Property and Escheatment
ICI Statement to ERISA Advisory Council on Permissive Transfers of Uncashed Checks from ERISA Plans to State Unclaimed Property Funds (pdf)
Indication of Death: Common Industry Practices (pdf)
Focus on Funds: Fund Investors Should Be Alert to "Abandoned Property" Risk
Focus on Funds Fund Investors Should Be Alert to “Abandoned Property” Risk Pennsylvania and other...
Anti-Money Laundering and Customer Due Diligence
November 3, 2020
Memo #32890
SEC's New Rule on Funds' Use of Derivatives: Summary of Fund Board Responsibilities
[32890] November 3, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Alternative Investments Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Financial Stability Fund Governance Recordkeeping Risk Oversight RE: SEC's New Rule on Funds'...
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...
Electronic Communications and Recordkeeping
ICI Letter Supporting Three Bipartisan Amendments to Help Americans Save for Retirement
March 5, 2024—The Investment Company Institute (ICI) expresses our strong support for three...
ICI Commends Senators for Introducing E-Delivery Legislation
February 29, 2024—ICI President and CEO Eric Pan released the following statement after Senators...
ICI Joins Other Trades in Asking IRS for Changes to Draft Forms W-4P and W-4R (pdf)
FATCA
ICI Comment Letter to IRS on FATCA Issues (pdf)
ICI Comment Letter on Form W-9 Submitted to IRS (pdf)
ICI and ICI Global Welcome U.S. Treasury Announcement of Additional Time to Implement FATCA
ICI and ICI Global Welcome U.S. Treasury Announcement of Additional Time to Implement FATCA...
Identity Theft, Red Flag Rules, and Privacy
ICI Files Comment Letter with Department of Commerce Discussing Importance of Mutual Funds' Access to the Death Master File (pdf)
ICI Files Comment Letter with SEC on FINRA's Proposed Consolidated Supervisory Rules (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)
Intermediary Oversight
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...
Money Market Funds
ICI Supplemental Comment Letter on SEC's Proposed Money Market Fund Reforms
On August 8, ICI filed this letter with the Securities and Exchange Commission to supplement our...
Previous Reform Made Prime Funds Less Resilient This Time Around
Even as the market turmoil triggered by strict government mandates and social distancing due to the...
On Closer Look, a Very Different Picture of Funds’ Role in the Commercial Paper Market
New analysis by ICI shows that prime money market funds did not pull back significantly from the...
Retirement Plans
IRAs Play a Key Role in US Households’ Retirement Planning
February 29, 2024—ICI’s latest research shows in mid-2023, 55.5 million US households, or 42.2...
Working for America’s Middle Class (pdf)
Working for America’s Middle Class
The US retirement system is the envy of the world, thanks largely to the success of defined...