The Asset Management Risk Assessment Template serves as a critical tool for financial institutions operating in the UAE's sophisticated financial market. It is designed to meet the stringent requirements of UAE Federal Law No. 14 of 2018 (Central Bank Law) and various SCA regulations governing asset management activities. This template should be used when conducting periodic risk assessments of asset management operations, launching new investment products, or reviewing existing risk management frameworks. The document encompasses comprehensive risk evaluation methodologies, regulatory compliance checklists, and risk mitigation strategies specifically tailored to the UAE market. It includes sections addressing both conventional and Islamic finance considerations, making it suitable for the diverse UAE financial sector.
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1. 1. Executive Summary: High-level overview of the risk assessment findings and key recommendations
2. 2. Introduction: Purpose, scope, and objectives of the risk assessment
3. 3. Regulatory Framework: Overview of applicable UAE regulations and compliance requirements
4. 4. Risk Assessment Methodology: Detailed explanation of the risk assessment approach and scoring methodology
5. 5. Risk Categories: Comprehensive analysis of different risk types including market, credit, operational, liquidity, and compliance risks
6. 6. Current Control Environment: Assessment of existing risk controls and their effectiveness
7. 7. Risk Assessment Findings: Detailed analysis of identified risks, their likelihood and potential impact
8. 8. Risk Mitigation Strategies: Proposed measures to address identified risks
9. 9. Monitoring and Review: Procedures for ongoing risk monitoring and periodic review
10. 10. Roles and Responsibilities: Definition of key stakeholders and their risk management responsibilities
11. 11. Reporting Requirements: Procedures for internal and regulatory risk reporting
1. Shariah Compliance Assessment: Include when dealing with Islamic financial products or services
2. Environmental, Social and Governance (ESG) Risk Analysis: Include for portfolios with ESG considerations or requirements
3. Cross-border Risk Assessment: Include when managing assets across multiple jurisdictions
4. Technology and Cybersecurity Risks: Include for digital asset management or high-tech dependent operations
5. Third-Party Risk Management: Include when significant outsourcing or third-party relationships exist
6. Special Purpose Vehicle (SPV) Structure Analysis: Include when SPVs are used in the asset management structure
1. Schedule A: Risk Assessment Matrix: Detailed risk scoring matrix and assessment criteria
2. Schedule B: Control Testing Results: Results of control effectiveness testing
3. Schedule C: Risk Register: Comprehensive list of identified risks and their current status
4. Schedule D: Regulatory Compliance Checklist: Detailed checklist of applicable UAE regulatory requirements
5. Schedule E: Risk Monitoring Dashboard: Template for ongoing risk monitoring and reporting
6. Appendix 1: Risk Assessment Tools and Templates: Standard forms and templates used in the risk assessment process
7. Appendix 2: Key Risk Indicators (KRIs): List of KRIs and their thresholds
8. Appendix 3: Emergency Response Procedures: Procedures for handling risk events and emergencies
9. Appendix 4: Regulatory Reporting Templates: Standard templates for regulatory reporting requirements
Authors
Relevant legal definitions
Clauses
Relevant Industries
Asset Management
Investment Banking
Private Equity
Wealth Management
Insurance
Real Estate Investment
Islamic Finance
Pension Fund Management
Mutual Funds
Alternative Investments
Relevant Teams
Risk Management
Compliance
Investment Management
Legal
Internal Audit
Operations
Portfolio Management
Client Services
Research and Analysis
Corporate Governance
Executive Management
Middle Office
Relevant Roles
Chief Risk Officer
Risk Manager
Compliance Officer
Asset Manager
Portfolio Manager
Investment Director
Chief Investment Officer
Risk Analyst
Compliance Manager
Internal Auditor
Chief Executive Officer
Chief Operating Officer
Investment Analyst
Legal Counsel
Board Member
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