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Asset Management

Comptroller's Handbook

Asset Management

December 2000

The Office of the Comptroller of the Currency (OCC) defines asset management as the business of providing financial products or services to a third party for a fee or commission. The supervision of asset management activities is an important component of the OCC’s safety and soundness supervisory framework. This booklet provides an overview of the asset management business, its risks, and sound risk management processes. It also describes the OCC’s supervisory philosophy and processes, and how they are applied to the asset management activities of national banks, including limited purpose trust banks.



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