Initial Asset Manager Code Compliance Notification Form

Complete this form if your organization is submitting its initial Asset Manager Code Compliance Notification Form.

If you want to update a previously submitted AMC Compliance Notification Form, use the Update Form instead.

In submitting this form, you indicate that through its code of ethics and/or policies and procedures, your organization complies with each principle and provision of the Asset Manager Code (the "Code"). Submission does not represent that CFA Institute engages in enforcement or quality control of an organization’s claim of compliance. CFA Institute does not verify the claim of compliance or actual compliance with the Code.

We currently require the contact information for two representatives. Both contacts will be notified when this form is submitted.

Organizations that claim compliance with the Asset Manager Code must submit this form annually, between 1 January and 30 June.

CFA Institute gathers and protects information in accordance with our Privacy Policy.

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Contact One

Prefix

Given Name First Name

Family Name Last Name

Email Address

Phone Number

Contact Two

Prefix

Given Name First Name

Family Name Last Name

Email Address

Phone Number

Organization Information

Organization Name

Website Address Valid URL address, example: https://example.com

Country / Region

City

State / Territory

Province

Province / Municipality

State / Territory

State

Region

Organization Type and Structure

Please select your organization type

Asset Owner (e.g., pension fund, sovereign wealth fund, endowment, foundation)

Asset Manager

Is your organization a subsidiary of a larger parent company?

Yes

Parent Company Name

Organization Assets

Indicate the Total Assets under Management for your organization as of the most recent calendar year-end in US Dollars (Rounded up to nearest Billion). If assets are less than $1billion, please insert 1

Acknowledgement

AMC Compliance Acknowledgement

My organization as mentioned above claims that through its code of ethics, policies and procedures, it complies with each principle and provision of the Asset Manager Code. My organization acknowledges CFA Institute may update and modify the Asset Manager Code in the future, and accepts the responsibility to ensure compliance with these changes.

My organization acknowledges that if it no longer complies with all principles and provisions of the Code (including updates), or it chooses to stop claiming compliance with the Asset Manager Code, my organization will no longer claim compliance and will promptly notify CFA Institute that it has stopped claiming compliance.