Page 33 - Annual Report 2021 EN

/ 33 T ABLE OF C ONTENT S

Investment Management, Advisor and Securities Supervision (IMAS)

IMAS was responsible for the ongoing supervision of Risk-rating methodology enhancement Risk Assessment Visits (RAVs)

10 investment managers, 7 insurance intermediaries,
13 advisory firms, and three Representative Offices The QFCRA’s IMAS Supervision enhanced further its Four risk assessment visits and 45 theme-risk or

during 2021. Certain firms reported monthly and risk-rating methodology in 2021. The new methodology, ongoing meetings were conducted during the year as

others quarterly, while Representative Offices have combined with technological resources provided, allows part of a continuous monitoring process of advisors,

annual submissions. Return reviews were conducted for analysis of risk factors in aggregate and forecasting intermediaries and investment managers in the QFC.
during the month after submissions were received, of potential breaches. RAVs focussed on business models, customer

and this offsite supervision was augmented by regular classification, and compliance and conduct risk

interactions with senior management at firms and RAVs. (including AML/CFT). The results of the RAVs were

satisfactory, with generally fewer adverse findings
than in 2020.

Number of Funds Assests under Management (QAR m)

Investment Management implemented a system to

supervise investment products sold or managed by
all QFC firms.

Debt/Leases

Portfolio management activities are conducted from

the QFC mainly for funds under management located
Equity
in different jurisdictions:

Fixed Income

Infrastructure

Real Estate