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
First Name
Last Name
Contact Two
First Name
Last Name
Organization Information
Valid URL address, example:
Organization Type and Structure
Please select your organization type
Is your organization a subsidiary of a larger parent company?
Organization Assets
AMC Compliance Acknowledgement