The Asset Management Risk Assessment document serves as a critical tool for financial institutions and asset managers operating in India to evaluate and manage risks associated with their investment activities. It is designed to comply with Indian regulatory requirements, particularly those established by SEBI and RBI, while incorporating international best practices in risk management. This document becomes essential when organizations need to establish, review, or update their risk management frameworks, particularly during the launch of new investment products, changes in investment strategies, or periodic regulatory compliance reviews. The assessment covers comprehensive risk evaluation across various dimensions including market risk, credit risk, operational risk, and compliance risk, providing a structured approach to risk identification, measurement, and mitigation strategies. It is particularly relevant in the context of India's evolving financial markets and regulatory landscape, where risk management practices are becoming increasingly sophisticated and scrutinized.
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1. Parties: Identification of the asset management firm and the client entity
2. Background: Context of the risk assessment, including scope and purpose
3. Definitions: Key terms used throughout the document, including technical and regulatory terminology
4. Scope of Assessment: Detailed outline of assets, portfolios, and operations covered under the assessment
5. Risk Assessment Methodology: Description of the approach and frameworks used for risk assessment
6. Risk Categories and Classification: Systematic categorization of different types of risks (market, credit, operational, etc.)
7. Risk Measurement Metrics: Specific indicators and measurements used to quantify various risks
8. Control Environment: Overview of existing risk control mechanisms and governance structure
9. Regulatory Compliance Framework: Assessment of compliance with SEBI, RBI, and other regulatory requirements
10. Reporting and Documentation: Requirements for risk reporting, documentation, and record-keeping
11. Review and Update Procedures: Process for periodic review and updating of risk assessments
12. Roles and Responsibilities: Definition of key stakeholders and their responsibilities in risk management
13. Emergency and Contingency Procedures: Protocols for handling risk events and emergencies
1. International Risk Considerations: Include when portfolio includes international investments or cross-border transactions
2. Technology Risk Assessment: Required when digital assets or automated trading systems are involved
3. Environmental, Social and Governance (ESG) Risk Assessment: Include for portfolios with ESG considerations or requirements
4. Counterparty Risk Assessment: Necessary when dealing with multiple trading partners or complex financial instruments
5. Model Risk Assessment: Include when quantitative models are used for investment decisions
6. Climate Risk Assessment: Required for portfolios with significant exposure to climate-sensitive sectors
7. Cryptocurrency and Digital Asset Risks: Include when portfolio includes digital assets or cryptocurrencies
1. Schedule A - Risk Assessment Matrix: Detailed risk scoring and assessment matrix for different risk categories
2. Schedule B - Risk Limits and Thresholds: Specific quantitative limits and threshold levels for various risk metrics
3. Schedule C - Compliance Checklist: Detailed checklist of regulatory compliance requirements and status
4. Schedule D - Risk Monitoring Dashboard: Template for regular risk monitoring and reporting
5. Appendix 1 - Risk Assessment Tools and Systems: List and description of risk assessment tools and systems used
6. Appendix 2 - Key Risk Indicators (KRIs): Detailed list of KRIs and their calculation methodologies
7. Appendix 3 - Incident Reporting Templates: Standard templates for reporting risk incidents and breaches
8. Appendix 4 - Regulatory References: List of applicable regulations and regulatory guidelines
9. Appendix 5 - Risk Assessment Team: Details of team members involved in risk assessment and their qualifications
Authors
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Banking
Insurance
Investment Management
Pension Funds
Wealth Management
Private Equity
Venture Capital
Real Estate Investment
Infrastructure
Corporate Treasury
Family Offices
Mutual Funds
Alternative Investment Funds
Relevant Teams
Risk Management
Compliance
Investment Operations
Portfolio Management
Legal
Internal Audit
Investment Analysis
Regulatory Affairs
Due Diligence
Asset Management
Treasury
Investment Committee
Operations Control
Financial Control
Relevant Roles
Chief Risk Officer
Risk Manager
Portfolio Manager
Compliance Officer
Investment Analyst
Fund Manager
Chief Investment Officer
Asset Management Director
Risk Analyst
Investment Operations Manager
Regulatory Compliance Manager
Due Diligence Officer
Investment Controller
Risk Control Specialist
Chief Financial Officer
Investment Committee Member
Internal Auditor
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