Risk Management
Identify, monitor and respond to operational and financial risks
A managed investment business should maintain documented risk limits, independent oversight where appropriate, escalation procedures and controls for market, liquidity, custody, cyber, counterparty and operational risks.
Risk governance
Describe the risk ownership model, limits and monitoring, incident escalation, business continuity, reconciliation, conflicts management, complaints handling and independent assurance. Disclose material limitations rather than implying that risk can be eliminated.
What customers should know
Information on this website is general in nature and is not personal investment advice. Product eligibility, availability, terms and service features depend on the actual legal and operational arrangements and applicable law. Read the relevant documents and consider seeking independent professional advice before making a decision.