AIFMD / UCITS — Fund Manager Authority, Risk Management & Investment Limits

AIFMD / UCITS — Fund Manager Authority, Risk Management & Investment Limits — 100% of in-scope requirements covered.

4 requirements · 4 in scope (4 enforced). The 100% is weighted over the in-scope base.

AIFMD / UCITS: requirement → the KYE™ artefact that enforces it

Demo data

You learn: Which requirements KYE™ enforces at runtime and with which artefact. You can: Walk the requirements.

  1. fund-manager-authorisation-conduct · enforced

    Fund manager authorisation & conduct: an AI-generated fund decision proceeds only under recorded named…

    Rule packs: kye:rule-pack:investment-decision-authority · Constitution: 36 governedui

  2. risk-management-function-limits · enforced

    Risk-management function & limits: the risk / limit basis is recorded as a mandate check before the action

    Rule packs: kye:rule-pack:investment-decision-authority · Constitution: 25 edge governance

  3. investment-limits-diversification · enforced

    Investment limits & diversification: a consequential decision is checked against the fund's recorded…

    Rule packs: kye:rule-pack:investment-decision-authority · Constitution: 12 purpose permission

  4. recordkeeping-depositary-oversight · enforced

    Recordkeeping & depositary oversight: replay-provable provenance of the basis on which an AI-assisted fund…

    Rule packs: kye:rule-pack:investment-decision-authority · Constitution: 13 resilience loop

How this widget is built
Demonstrates
KYE™ Compliance Mapping Rail™
Components
  • Framework requirement (clause)
  • Coverage status
  • KYE™ enforcement artefact (event, decision-record field, Evidence Pack™ entry)
Flow
Clause → status → the KYE™ artefact that enforces it, enforced requirements first. Architecture diagram
Used on

Source: The Alternative Investment Fund Managers Directive (Directive 2011/61/EU, AIFMD) and the UCITS Directive (Directive 2009/65/EC) govern the management of collective investment undertakings in the EU — the authorisation and conduct of fund managers, the permanent risk-management function, investment limits and diversification rules, and recordkeeping / depositary oversight. KYE Protocol™ governs whether an AI-assisted investment decision/action is within the fund's mandate and limits, authorised, evidenced, and final at the action boundary, and proves the basis. KYE™ does not produce investment intelligence, run the risk-management function, judge whether a decision is correct, or act as a fund manager. · License: AIFMD (Directive 2011/61/EU) and the UCITS Directive (Directive 2009/65/EC) are EU legislation published in the Official Journal of the European Union. KYE™ registry cites their fund-management constructs for mapping purposes only.

By category

CategoryReqsEnforcedDesignedAdvisoryDeferredCoverage
Fund manager authorisation & conduct11000100%
Risk-management function & limits11000100%
Investment limits & diversification11000100%
Recordkeeping & depositary oversight11000100%

Every requirement → the KYE™ artefact that enforces it

IDTitleStatusKYE™ enforcement
aifmd-ucits.fund-manager-authorisation-conductFund manager authorisation & conduct: an AI-generated fund decision proceeds only under recorded named authorityenforcedrule_packs: kye:rule-pack:investment-decision-authority
constitution_refs: constitution/36-GOVERNEDUI.md
aifmd-ucits.risk-management-function-limitsRisk-management function & limits: the risk / limit basis is recorded as a mandate check before the actionenforcedrule_packs: kye:rule-pack:investment-decision-authority
dictionaries: internal
constitution_refs: constitution/25-EDGE-GOVERNANCE.md
aifmd-ucits.investment-limits-diversificationInvestment limits & diversification: a consequential decision is checked against the fund's recorded investment limits before it proceedsenforcedrule_packs: kye:rule-pack:investment-decision-authority
constitution_refs: constitution/12-PURPOSE-PERMISSION.md
aifmd-ucits.recordkeeping-depositary-oversightRecordkeeping & depositary oversight: replay-provable provenance of the basis on which an AI-assisted fund decision proceededenforcedrule_packs: kye:rule-pack:investment-decision-authority
dictionaries: internal
constitution_refs: constitution/13-RESILIENCE-LOOP.md

Canonical KYE™ surfaces referenced on this page: KYE Protocol™.