A fast take on the impact of the Dodd-Frank Act on asset management firms

April 2012
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A fast take on the impact of the Dodd-Frank Act on asset management firms

At a glance

April 2012 - Several provisions of the Dodd-Frank Act impact the asset management industry, either directly as regulated investment advisers, or indirectly as participants in the markets. Here is a summary of how Dodd-Frank impacts asset managers.

Asset management firms face unprecedented regulatory and compliance challenges. They must grapple with a new regulatory framework and new demands of the landmark Dodd-Frank Act. PwC can help asset management firms of all types address regulatory compliance issues and manage regulatory risk effectively.

Several provisions of Dodd-Frank impact - or may impact - the asset management industry, either directly as regulated investment advisers, or indirectly as participants in the markets, including:

  • Form PF
  • The Volcker Rule
  • Resolution Plans for SIFIs
  • Swap Dealer Registration

Click here to read a summary of how Dodd-Frank impacts asset managers.

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