Risk Management
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Other risk areas to consider, including: • AML and financial crime issues - Including any internal/external Suspicious Activity Reports (SARs) • Cybercrime, frauds, scams – has the firm been targeted Any new defensive measures in place • Referrals and fee sharing • Register of members interests - Any new business interests or other appointments • Introductions, commissions and financial benefits • Undertakings • Gifts and hospitality • Political and charitable donations • Conflicts • Confidentiality • Outsourcing • Retainers terminated • Residual balances (COFA) • Staffing - Staffing issues that might impact upon delivery of the service • Website and marketing • Updating internal documents (e.g..
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