Regulatory Alerts2020-11-10
Asset Management Ratings
Regulatory guidelines define the Asset Management rating to evaluate risks associated with managing discretionary assets, including cash and investment portfolios. The assessment examines the adequacy of policies, decision-making processes, risk measurement tools, and due diligence procedures governing fiduciary activities. Ratings range from 1 for strong practices to 5 for critically deficient operations that jeopardize beneficiary interests and institutional soundness.
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