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ICI Global Publications & Resources White Papers

Global White Papers
  • Market Access for Regulated Fund Managers in the United States and European Union (pdf)
    Mar 23, 2017
  • Know Your Distributor Questionnaire (docx)
    Sep 20, 2016
  • French Translation: Executive Summary: Insights from the 2015 Global Retirement Savings Conference (pdf)
    Feb 23, 2016
  • Executive Summary: Insights from the 2015 Global Retirement Savings Conference (pdf)
    Feb 23, 2016
  • Chinese Translation: Executive Summary: Insights from the 2015 Global Retirement Savings Conference (pdf)
    Feb 23, 2016
  • Insights from the 2015 Global Retirement Savings Conference (pdf)
    Feb 23, 2016
  • Japanese Translation: Executive Summary: Insights from the 2015 Global Retirement Savings Conference (pdf)
    Feb 23, 2016
  • Japanese Translation: Executive Summary: Insights from the 2015 Global Retirement Savings Summit (pdf)
    Oct 15, 2015
  • Executive Summary: Insights from the 2015 Global Retirement Savings Summit (pdf)
    Oct 15, 2015
  • Insights from the 2015 Global Retirement Savings Summit (pdf)
    Oct 15, 2015
  • Insights from the 2014 Global Retirement Savings Conference (pdf)
    Oct 1, 2014
  • Executive Summary: Insights from the 2013 Global Retirement Savings Conference (pdf)
    Oct 25, 2013
  • Insights from the 2013 Global Retirement Savings Conference (pdf)
    Oct 25, 2013
  • Japanese translation: Executive Summary: Insights from the 2013 Global Retirement Savings Conference (pdf)
    Oct 25, 2013
  • Chinese translation: Executive Summary: Insights from the 2013 Global Retirement Savings Conference (pdf)
    Oct 25, 2013
Institute White Papers
  • Reverse Distribution Mechanism and Negative Yields: Considerations and Recommended Practices (pdf)
    Dec 3, 2020
  • Consider This: Interval Fund Operational Practices (pdf)
    Sep 29, 2020
  • Financial Intermediary Controls and Compliance Assessment Engagements (pdf)
    Aug 5, 2020
  • Funds’ Use of ESG Integration and Sustainable Investing Strategies: An Introduction (pdf)
    Jul 23, 2020
  • Mutual Fund Share Class Conversions: A Matrix of Possibilities (pdf)
    May 26, 2020
  • Estimating Omnibus Account Dividend and Capital Gains Disbursements (pdf)
    May 19, 2020
  • The Myth of Under-Annuitization: Managing Income and Assets in Retirement (pdf)
    Apr 13, 2020
  • Recommendations Regarding the Availability of Closed-End Fund Takeover Defenses (pdf)
    Mar 12, 2020
  • Analysis of Fund Proxy Campaigns: 2012 Through 2019 (pdf)
    Dec 20, 2019
  • Overview of Fund Governance Practices, 1994–2018 (pdf)
    Oct 10, 2019
  • Interval Funds: Operational Challenges and the Industry’s Way Forward (pdf)
    Jun 3, 2019
  • Operational Process Flows and Considerations Related to Dealer/Custodian Resignations (pdf)
    Feb 26, 2019
  • Mutual Fund Investors’ Views on Shareholder Reports: Reactions to a Summary Shareholder Report Prototype (pdf)
    Oct 24, 2018
  • Breaching the Debt Limit: Operational Considerations (pdf)
    Dec 5, 2017
  • Indication of Death: Common Industry Practices (pdf)
    Nov 13, 2017
  • Overview of Fund Governance Practices, 1994-2016 (pdf)
    Oct 11, 2017
  • Understanding the Regulation of Exchange-Traded Funds Under the Securities Exchange Act of 1934 (pdf)
    Aug 10, 2017
  • Evaluating Swing Pricing: Operational Considerations Addendum (pdf)
    Jun 7, 2017
  • Market Access for Regulated Fund Managers in the United States and European Union (pdf)
    Mar 23, 2017
  • Evaluating Swing Pricing: Operational Considerations (pdf)
    Nov 30, 2016
  • Operational Process Flows and Considerations Related to Dealer/Custodian Resignations in Response to the Fiduciary Rule (pdf)
    Oct 25, 2016
  • The Evolution of the Financial Intermediary Controls and Compliance Assessment (pdf)
    Aug 19, 2016
  • Fund Governance: A Successful, Evolving Model (pdf)
    Jun 29, 2016
  • SEC Valuation and Liquidity Guidance for Registered Investment Companies, Volume I (pdf)
    Jul 14, 2015
  • SEC Valuation and Liquidity Guidance for Registered Investment Companies, Volume II (pdf)
    Jul 14, 2015
  • The Role and Activities of Authorized Participants of Exchange-Traded Funds (pdf)
    Mar 16, 2015
  • Report on Funds’ Use of Proxy Advisory Firms (pdf)
    Jan 22, 2015
  • Summary: Our Strong Retirement System: An American Success Story (pdf)
    Dec 4, 2013
  • Our Strong Retirement System: An American Success Story (pdf)
    Dec 4, 2013
  • The Success of the U.S. Retirement System (pdf)
    Dec 5, 2012
  • The Tax Benefits and Revenue Costs of Tax Deferral (pdf)
    Sep 11, 2012
  • Operational Impacts of Proposed Redemption Restrictions on Money Market Funds (pdf)
    Jun 20, 2012
  • Fund Board Oversight of Risk Management (pdf)
    Sep 30, 2011
  • Navigating Intermediary Relationships (pdf)
    Sep 30, 2009
  • Financial Services Regulatory Reform: Discussion and Recommendations (pdf)
    Mar 2, 2009
  • Oversight of Fund Proxy Voting (pdf)
    Jul 10, 2008
  • Chief Risk Officers in the Mutual Fund Industry: Who Are They and What Is Their Role Within the Organization? (pdf)
    Aug 7, 2007
  • Report of the Working Group on Rule 12b-1 (pdf)
    May 30, 2007
  • A Review of the SEC Office of Economic Analysis Board Independence Studies (pdf)
    Mar 2, 2007
  • ICI Policy Statement on Retirement Plan Disclosure (pdf)
    Feb 2, 2007
  • Costs of Eliminating Discretionary Broker Voting on Uncontested Elections of Investment Company Directors (pdf)
    Dec 21, 2006
  • Fair Valuation Series: The Role of the Board (pdf)
    Jan 26, 2006
  • Mutual Funds and Institutional Accounts: A Comparison (pdf)
    Jan 26, 2006
  • Assessing the Adequacy and Effectiveness of a Fund's Compliance Policies and Procedures (pdf)
    Dec 15, 2005
  • Fair Valuation Series: An Introduction to Fair Valuation (pdf)
    Jun 10, 2005
  • Study Concludes Fair Valuation, Redemption Fees Necessary to Prevent Market Timing (pdf)
    Oct 21, 2004

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