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August 2001

Investment Management Services

This publication is part of:

Collection: Comptroller's Handbook

Series: Asset Management


This booklet provides an overview of investment management—defined as the business of managing or providing advice on investment portfolios or individual assets for compensation—and its associated risks and in appropriate risk management framework.


This booklet applies to the OCC's supervision of national banks and federal savings associations. For statutes, regulations, and guidance referenced in this booklet, consult those sources to determine applicability to federal savings associations. References to national banks in this booklet also generally apply to federal branches and agencies of foreign banking organizations. Refer to 12 USC 3102(b) and the "Federal Branches and Agencies Supervision" booklet of the Comptroller's Handbook for more information..