The risk assessment - foundations of compliance

Date: 
Wednesday 17 April 2019
Time: 
08:00 - 09:30
Location: 
Brodies LLP, 31-33 Union Grove, Aberdeen

Categories:

  • Government, Regulation and Competition

As recent enforcement action has shown, the risk assessment is crucial to compliance. Part two in our compliance seminar series focuses on the mechanisms of conducting a regulatory risk assessment, including:

  • The basics of what a risk assessment does in this context;
  • How to prepare the risk assessment – the key elements and types of risk in a regulatory risk assessment;
  • When and how to prepare a transaction-specific risk assessment;
  • How the risk assessment informs the rest of the compliance programme’s procedures; and
  • Assessing what’s proportionate.
Speakers: 
Fran Hutchison
Fran
Hutchison
Associate
+44 (0)1224 392 680
fran.hutchison@brodies.com
Paul Marshall
Paul
Marshall
Partner
+44 (0)131 656 0062
paul.marshall@brodies.com