Monitoring portfolio managers and trustees

Portfolio managers and trustees are subject to prudential supervision by a supervisory organisation (SO).

This SFMA page gives supervised institutions and market participants a practical view of the monitoring portfolio managers and trustees topic. It explains the supervisory focus, the information SFMA may request and the controls or processes that should be maintained after authorisation or registration.

Supervisory instruments available to the SO

This supervisory tool helps SFMA assess whether the supervised institution continues to meet legal and organisational requirements. The authority can request information, review controls, carry out focused assessments, commission audit work and require remediation where weaknesses are identified.

Case-related supervision by SFMA

This section explains how case-related supervision by sfma fits into the monitoring portfolio managers and trustees topic. The relevant information should be documented clearly so SFMA can understand the activity, risk profile, controls and supervisory implications.

SFMA is responsible for legal enforcement

If supervisory measures are not sufficient to restore compliance, SFMA may use enforcement powers. Enforcement is directed at clarifying breaches of financial market law, ordering corrective measures and protecting clients, creditors, investors and market integrity.

Preparing for supervision

Supervised institutions should keep policies, records, reports, governance documents and evidence of controls current. Where material changes or incidents occur, they should assess notification duties early and maintain a clear audit trail for supervisory review.