These documents are suitable for use as brief guidance for those undertaking compliance roles within your firm and who are responsible for dealing with the subject matter of the documents. You may also wish to circulate the documents to your compliance team/relevant persons to provide a useful overview on the topic.
What is in the documents
Guide to a Risk Register: This guide can be used to provide useful information on Risk Registers, including what a Risk Register is, the benefits of having one, how to prepare a Risk Register and the information that should be included in the Risk Register.
Risk Register Checklist: This checklist details the actions that we recommend Firms take in order to prepare and implement a Risk Register and can be used to assist Firms to check the content of their Risk Register if already in place.
Risk Register template: This document contains a template Risk Register with explanatory notes and examples of the types of risks that may be identified.
How to use the documents
Guide to the Risk Register: This Guide can be used to provide useful information on Risk Registers, including an overview of the content of a Risk Register policy, and also to assist with the drafting of a Risk Register where not in place.
Risk Register Checklist: This checklist summarises the actions that we recommend in relation to your Firm's Risk Register and can be used to either assist you to prepare a risk register, or alternatively to check the content of your existing risk register, if already in place.
Risk Register Template: This template Risk Register can be used to assist you in drafting your Firm's Risk Register where not in place, or alternatively to check the content of your existing register. Firms will need to amend the template as appropriate for their Firm.
Downloads
