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III - Providers
III. 1 - Investment services providers
III. 1.2. Organisational rules
Risk management organisation for collective investment undertaking management activities and discretionary portfolio management investment services
  • Applicable from 21 March 2022
  • Instruction DOC-2012-01

Risk management organisation for collective investment undertaking management activities and discretionary portfolio management investment services

Document

Summary

Collective investment undertaking management activities and discretionary portfolio management investment services are subject to specific risk management organisation rules (counterparty, liquidity and market risks and operational risk). The instruction DOC-2012-01 defines the permanent risk management function, the procedures for delegation to third parties and risk management policy and procedures (measurement, supervision, documentation and filing).This document has not been updated for the laws and regulations that transpose MiFID II and legally separate investment firms from asset management companies. The update will take place in the near future.

Reference texts