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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...

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...

Comment Letter

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

White Paper

Financial Intermediary Controls and Compliance Assessment Engagements (pdf)

Comment Letter

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

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...

Comment Letter

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

Comment Letter

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

Comment Letter

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Resources

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

ICI Comment Letter on Certain Information Providers Acting as Investment Advisers

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

Financial Intermediary Controls and Compliance Assessment Engagements (pdf)

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

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

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

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

ICI Files Comment Letter on CFTC Recordkeeping Proposal (pdf)