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White Papers

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Operational Considerations of the DOL Fiduciary Rule for Accounts Held Direct-at-Fund (pdf)

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Evaluating Investor Communication Touchpoints in Response to the DOL Fiduciary Rule (pdf)

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Operational Process Flows and Considerations Related to Dealer/Custodian Resignations in Response to...

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The Evolution of the Financial Intermediary Controls and Compliance Assessment (pdf)

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Fund Governance: A Successful, Evolving Model (pdf)

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Event Processing Assumptions and Considerations (pdf)

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Floating NAV Intraday NAV Strike Considerations (pdf)

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High-Level Process Flow: Intraday Floating NAVs (pdf)

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Overview of Fund Governance Practices, 1994–2014 (pdf)

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