Risk - What It Means To Compliance Officers Today

Jan. 2013

 

The term risk has been popping up everywhere in the financial world - and not just in reference
to investment risk. We've been hearing these terms over and over again but what do they really
mean from a regulatory context? Some of the more common references are:

 

  • Risk Assessment
  • Risk Matrix
  • Enterprise Risk Management
  • Risk Management
  • Investment Risk
  • Risk-Based Assessments

 

In this month's CCLS Risk Management Update, we will explore these subject matters and
discuss how each of these areas may impact compliance officers today.

 

To read the full PDF article, click here