Operations and Technology Content

ppr_16_evaluating_swing_pricing.pdf

ppr_16_fiduciary_rules.pdf

ppr_16_operational_process.pdf

By Electronic Delivery October 24, 2016 Hon. William Wilkins Tom West Chief Counsel Tax Legislative Counsel Internal Revenue Service U.S. Department of the Treasury 1111 Constitution Avenue, NW 1500 Pennsylvania Avenue, NW Washington, DC 20224 Washington, DC 20220 RE: Notice 2016-23...

Focus on Funds ICI Further Expands Its Cybersecurity Resources Renowned “white hat” hacker Kevin Mitnick will speak at ICI’s Cybersecurity Forum on November 10. In the September 23, 2016, edition of Focus on Funds, ICI Senior Director Peter Salmon details the conference agenda, and...

1 September 12, 2016 Mr. Brent J. Fields Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: Notice of Filing of Proposed Rule Change Adopting Maximum Fees Member Organizations may Charge in Connection with the Distribution of...

Rapid change in the fund industry means that the operational support provided by what’s known as the “middle office” must evolve, explains Ahmed Elghazaly, ICI director of securities operations, in the September 2, 2016, edition of Focus on Funds.

ppr_16_ficca.pdf

pdf

 