CCO Resource Center: Miscellaneous Vendors

Chief Compliance Officer Committee

CCO Oversight Resources
Compilation of CCO Compliance Resources

Notes to the Compilation

In the spring of 2015, members of the ICI’s Chief Compliance Officer (CCO) Committee expressed interest in having members share copies of any documents (questionnaires, check lists, due diligence lists) members were using to oversee their variety of service providers. The ICI agreed to be the repository for this information. The information collected through this exercise is intended to supplement the documents the ICI previously collected and compiled for members in 2014 relating to CCO oversight of fund distributors. The documents the ICI received in response to its 2015 request are compiled in this document. The documents are arranged in order of the type of service provider to which they relate. We are providing this compilation as a resource to the members of ICI’s CCO Committee and other compliance staff of ICI members who may be involved in overseeing service providers pursuant to Rule 38a-1 under the Investment Company Act of 1940. We have made every effort to redact any identifying or proprietary information from these documents. We apologize in advance if we failed to completely redact such information. Please do not share this document with anyone outside of your member firm.

Table of Contents

  1. Generic Certifications of Compliance with the Fund’s Compliance Policies and Procedures
  2. Materials Related to Oversight of Fund Administration and/or Accounting
  3. Materials Related to Oversight of the Transfer Agent
  4. Materials Related to Oversight of the Custodian
  5. Materials Related to Oversight of Sub-Advisers
  6. Materials Related to Oversight of Multiple Service Providers
    1. Administrator, Transfer Agent, and Accounting Agent
    2. Administrator, Custodian, and Fund Accounting
    3. Distributors
    4. Service Provider Summary Checklist
    5. Due Diligence Meeting Agenda
  7. Materials Related to Oversight of Miscellaneous Service Providers
    1. Expert Networks
    2. Blue Sky Administrator
    3. Pricing Vendors
    4. AML
    5. Distributors of Managed Pool Vehicles

Additional Oversight Resources

In addition to the resources in the compilation, members have shared with us resources related to the following:

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.