Risk management policy—annual review

The following Practice Compliance precedent provides comprehensive and up to date legal information covering:

  • Risk management policy—annual review

Risk management policy—annual review

A: General information

Date of review
Person(s) conducting review

B: Review and findings

Are your risk management policy and procedures up to date and fit for purpose?Yes/No
(If no, ensure you set an action point at section C below to update your policy and processes)
Are you satisfied that your processes for:
  1. identifying risk

  2. reporting risk

  3. evaluating risk

  4. dealing with higher risk clients/matters

  5. handling dormant files

  6. defining and ensuring compliance with critical dates

  7. managing regulatory risk

are working as they should?
(Please state the basis of your findings, eg review of Compliance

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