The Asset Management Risk Assessment is a critical document required for financial institutions and asset management firms operating in Canada. It serves as a comprehensive evaluation tool designed to identify, assess, and manage risks associated with asset management activities while ensuring compliance with Canadian regulatory requirements. This document is typically required when organizations need to demonstrate robust risk management practices to regulators, during periodic internal reviews, or when significant changes occur in the asset management portfolio or operating environment. The assessment encompasses various risk categories including market, credit, operational, and regulatory risks, while specifically addressing Canadian regulatory requirements such as those imposed by IIROC, provincial securities commissions, and other relevant regulatory bodies. It forms an essential component of an organization's risk management framework and supports informed decision-making in asset management operations.
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1. 1. Executive Summary: High-level overview of the risk assessment findings, key risks identified, and critical recommendations
2. 2. Introduction: Purpose of the assessment, scope, and methodology used
3. 3. Organization Context: Overview of the organization's asset management framework, objectives, and strategic context
4. 4. Asset Portfolio Overview: Detailed description of assets under management, including classification and valuation
5. 5. Risk Assessment Framework: Methodology used for risk identification, analysis, and evaluation
6. 6. Risk Categories and Analysis: Detailed analysis of various risk categories including market, credit, operational, regulatory, and strategic risks
7. 7. Current Control Measures: Existing risk management controls and their effectiveness
8. 8. Risk Evaluation and Prioritization: Assessment of risk levels and prioritization based on impact and likelihood
9. 9. Risk Treatment Strategies: Recommended risk mitigation strategies and action plans
10. 10. Monitoring and Review: Framework for ongoing risk monitoring and periodic review processes
11. 11. Roles and Responsibilities: Definition of key stakeholders and their responsibilities in risk management
12. 12. Compliance Requirements: Overview of regulatory compliance requirements and how they are addressed
1. ESG Risk Assessment: Specific section for environmental, social, and governance risk factors, included when ESG is a significant consideration
2. Cybersecurity Risk Analysis: Detailed assessment of digital asset and information security risks, included for organizations with significant digital assets
3. Third-Party Risk Management: Assessment of risks related to external service providers and vendors, included when significant outsourcing exists
4. Business Continuity and Disaster Recovery: Specific section for assessment of business interruption risks and recovery plans, included for critical asset management operations
5. Climate Change Risk Assessment: Analysis of climate-related risks and their impact on assets, included when physical assets are significantly exposed to climate risks
6. Currency Risk Analysis: Detailed assessment of foreign exchange risks, included when managing international assets
1. Schedule A - Risk Assessment Matrices: Detailed risk assessment scoring matrices and methodology
2. Schedule B - Asset Registry: Comprehensive list of assets under management with key characteristics
3. Schedule C - Control Testing Results: Detailed results of control effectiveness testing
4. Schedule D - Risk Treatment Action Plan: Detailed implementation plan for risk mitigation strategies
5. Schedule E - Compliance Checklist: Detailed regulatory compliance requirements and status
6. Appendix 1 - Risk Assessment Tools and Templates: Standard tools and templates used in the risk assessment process
7. Appendix 2 - Historical Risk Events Analysis: Analysis of past risk events and lessons learned
8. Appendix 3 - Stakeholder Consultation Summary: Summary of stakeholder inputs and consultation process
9. Appendix 4 - Technical Systems Documentation: Documentation of technical systems and controls relevant to risk management
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Investment Management
Banking
Insurance
Pension Funds
Real Estate Investment
Private Equity
Infrastructure
Wealth Management
Corporate Treasury
Alternative Investments
Fund Management
Relevant Teams
Risk Management
Compliance
Investment Management
Operations
Internal Audit
Legal
Treasury
Portfolio Management
Investment Analysis
Regulatory Affairs
Asset Administration
Executive Leadership
Relevant Roles
Chief Risk Officer
Risk Manager
Asset Manager
Portfolio Manager
Compliance Officer
Chief Investment Officer
Investment Analyst
Operations Director
Chief Financial Officer
Internal Auditor
Risk Analyst
Investment Director
Regulatory Compliance Manager
Treasury Manager
Senior Portfolio Strategist
Investment Operations Manager
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