6e. BD/MA Lab – Risk Identification & Creating a Risk Matrix


The process of identifying risk exposure within your firm is a necessary element in developing and maintaining a strong compliance program. This session will explore the practical aspects of creating a meaningful and usable risk assessment and will highlight the benefits that such assessment provides to your compliance program.
Advanced Preparation: None
Pre-requisites for participation: No prerequisites are required
Learning Objectives:
• Understand why a risk assessment is a necessary part of a strong compliance program for a broker-dealer
• Learn what your risk matrix should look like
• Learn how to create your inventory of your firm’s compliance risks
• Determine how to use your risk assessment on an ongoing basis for regulators and corporate executives

Sponsored by:

Lab                        Program Level: Basic Date: October 22, 2019 Time: 11:25 am - 12:25 pm Paul Murdock Pam Ziermann