FUND STATUS IS NOT EXECUTION AUTHORITY.
AIFMD, UCITS, securities financing and securitisation combine product, manager, custody, liquidity, reporting and due-diligence conditions. These states remain separate Determination Domains.
SFTR · SECURITISATION
DETERMINATION ≠ PERMISSION
Asset Management & Securities Financing: sector controls in institutional context
This sector page now anchors its relevant control families in the actual institutional workflow rather than treating gates as a detached catalog. The purpose is to show what each control contributes, which data and dependencies it requires, and how a material block affects the final execution state.
SECTOR PROCESS · ARCHITECTURE OVERVIEW
From a domain finding to a permitted action
An instruction may pass a domain check while the actor still lacks authority to execute it for this portfolio and time.
01 · INPUT & CONTEXT
What action is proposed, by which actor, on which object and at what time?
02 · DOMAIN CHECK
Applicable rules and data sources determine the domain state; a gate finding remains an input.
03 · AUTHORITY & RIGHTS
Legal basis, competent authority, scope, time and dependencies must be valid for the specific action.
04 · EXECUTION & EVIDENCE
Only a valid execution right permits a protected action; evidence records determination and execution status separately.
ILLUSTRATIVE MODEL · Not a live receipt or universal legal clearance. A positive gate check alone does not grant an execution right.
SECTOR GATE FAMILIES
Applicable control domains
The gate names below map publicly documented controls to this sector. Actual availability for a tenant is determined separately by institutional onboarding and valid Execution Rights.
- gateAIFMD NEW
- gateAML
- gateConsortiumLoans
- gateCRA NEW
- gateCreditScoring
- gateCSDR NEW
- gateEMIR NEW
- gateHFT
- gateMarketAbuse
- gateOFAC
- gateSecuritisation NEW
- gateSFTR NEW
- gateUCITS NEW
This mapping is neither a legal clearance nor a guarantee that every control is active for every tenant.
gateAIFMD
Authorization, delegation, liquidity management, reporting, depositary and loan-origination state.
gateUCITS
Authorization, eligible assets, liquidity, depositary safekeeping and investor-information state.
gateSFTR
Scope, trade-repository reporting, reuse conditions and transparency state.
gateSecuritisation
Risk retention, investor due diligence, transparency and STS eligibility state.
Execution rights in Asset management and securities financing
Execution rights for asset management and securities financing: connect mandates, product restrictions, liquidity and required evidence.
A transaction fits the product but exceeds the current mandate. A positive product check does not replace the missing execution right.
The difference: a dashboard displays information and a log records events. The additional control question is whether the specific action may take effect under current conditions at the integrated execution path. A positive checking result alone is insufficient. Effectiveness must be accepted for the actual target systems and execution paths.
Serverless Edition · Jurisdictions · All sectors · The architecture difference