CCO Resource Center: Redemption-in-Kind Policy

Chief Compliance Officer Committee

Redemption-in-Kind Policies and Procedures

In 2018, in connection with adopting policies and procedures to implement the SEC’s Liquidity Risk Management Program rule, some members also adopted policies relating to redemption-in-kind. We asked members adopting these policies to share them with us. The ones we received are available through the link below.

The documentation provided by ICI that may be accessed by committee and task force members is restricted to members use only and not for distribution or reproduction. Documentation may be used internally at member organizations as needed to facilitate committee and task force initiatives.