Risk Management
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Do you have an idea of what you want to draft, but you cannot find the exact words yet to write it down or lack the inspiration how to make it? If you've been feeling stuck, this Risk Management template can help you find inspiration and motivation. This Risk Management covers the most important topics that you are looking for and will help you to structure and communicate in a professional manner with those involved.
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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