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?
Yes/No
(Please state the basis of your findings, eg review of Compliance

Popular documents