Breakout 4A – Introduction to Risk

Regulators expect registrants to periodically perform and document a risk assessment.  This session will provide attendees with an understanding of the importance of defining compliance risks and the need to routinely assess and reassess compliance programs in light of significant regulatory or business events and firm changes.

Learning Objectives:

  • Understand how regulators and the industry arrived at current practices for utilizing and applying risk assessment programs.
  • Review risk assessment, framework, methodologies and practices
  • Discuss realistic processes for risk qualification and quantification
  • Explore common issues that hinder effective risk programs