Date: February 26, 2019 Operational Process Flows and Considerations Related to Dealer/Custodian Resignations (pdf)
Date: February 26, 2019 Operational Process Flows and Considerations Related to Dealer/Custodian Resignations (pdf)
Date: August 10, 2017 Understanding the Regulation of Exchange-Traded Funds Under the Securities Exchange Act of 1934 (pdf)
Date: May 23, 2017 Monitoring Direct-at-Fund Assets and Accounts with Grandfathered Compensation in Response to the DOL Fiduciary Rule (pdf)
Date: March 23, 2017 Market Access for Regulated Fund Managers in the United States and European Union (pdf)
Date: January 31, 2017 Disclosure of Noncash Compensation and Third-Party Payments in Response to the DOL Fiduciary Rule (pdf)
Date: January 31, 2017 Disclosure of Noncash Compensation and Third-Party Payments in Response to the DOL Fiduciary Rule (pdf)