CCO Resource Center: Intermediaries and Fund Distributors
Chief Compliance Officer Committee
CCO Intermediary Resources
CCO Intermediary Certifications
In January 2014, members of the CCO Committee were asked to provide ICI copies of any questionnaires or certifications they used to oversee their intermediaries. The information provided to the Institute was combined into the document, “CCO Intermediary Certifications,” which is organized into the following categories:
- Broad Scope Certifications – which touch on the variety of services performed for a fund by its intermediary;
- Limited Scope Certifications (e.g., AML) – that ask the intermediary to provide a certification relating to specific topics; and
- Negative Consents – which attempt to affirm that the intermediary is doing what it is supposed to be doing for the fund unless it informs the fund otherwise.
- CCO Intermediary Certifications (pdf)
The documentation provided by ICI that may be accessed by the CCO Committee members is restricted to members’ use only and not for distribution or reproduction. Documentation may be used internally at member organizations as needed.