Industries & activities

Asset management

Managers of funds and portfolios for institutional and retail investors.

Overview

Asset managers face registration, fiduciary, disclosure, valuation, liquidity and reporting obligations.

Asset managers must register, act as fiduciaries, value and report holdings accurately, manage liquidity and conflicts, and meet marketing and disclosure rules for each fund.

Authorities in this glossary active in it include SEC. It sits within financial services.

Check the official sources below for legal scope, applicable dates and exceptions. This entry is an explanatory reference, not legal advice.

Why it matters

Regulators increasingly look at activities and outcomes in this space, so obligations follow the business model rather than the label.

Who it affects

Organisations operating in asset management, and the vendors who serve them.

Where it sits

Ten linked steps connect where you operate to the proof that you complied.

  1. 01Jurisdiction
  2. 02Industry
  3. 03Activity
  4. 04Authority
  5. 05Regulation
  6. 06Requirement
  7. 07Guidance
  8. 08Control
  9. 09Evidence
  10. 10Enforcement

Hierarchy

Members & authorities
SEC

Connections

The terms most closely tied to Asset management. Select one to open it.

This term

What to do about it

  1. 1List the activities you actually perform.
  2. 2Identify the authorities and licences those activities trigger.
  3. 3Scope your obligation library to the sector and its activities.
  4. 4Set up controls and evidence for the highest-risk obligations first.
In Regulation Layer

From requirement to evidence.

Tag your organisation with this sector and Regulation Layer scopes the obligation library to it.

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