INVESTMENT MANAGEMENT SERVICE. pdf download

Investment Management Service.

INVESTMENT MANAGEMENT SERVICE.

Contents

• Introduction
• Background.1
• Portfolio Management and Advisory Services.2
• Investment Clients.6
• Regulation and Supervision.9
• Risks.12
• Risk Management Processes.15
• Examination Procedures .39
• Bank Activities
• General Procedures.40
• Quantity of Risk.44
• Quality of Risk Management.52
• Conclusions.74
• Registered Investment Advisers
• General Procedures.77
• Quantity of Risk.82
• Quality of Risk Management.90
• Conclusions.102
• Appendixes
• A: Portfolio Management Processes.105
• B: Trust Investment Law.113
• C: ERISA Investment Standards.130
• D: Investment Management and 12CFR9 . 135
• E: Investment Policy Statements.139
• F: Guidelines for Selecting Investment Managers and Advisers.145
• G: Investment Management Policy Guidelines.149
• References .153