Risk Management Policy

Risk Management Policy


It is an FCA requirement that every firm is aware of the risks it is exposed to.  As a result, every aspect of a firm’s business demands risk analysis, ranging from internal failure of personnel and systems to counter-party failure to systemic market failures. With the recent FCA rule changes, these assessment should always include the firm’s financial and operational resilience.

Under the Senior Managers and Certification Regime (SM&CR), a designated senior manager has the responsibility for the identification and management of risk.

Whilst not every risk can be avoided, all business decisions need to be supported by a risk analysis. This makes the risk management framework a vital building block of conduct and culture of any regulated firm.


The Risk Management Policy Template has been drafted by our industry experts to provide a template resource fully compliant with FCA regulatory expectations (including Financial and Operational Resilience Assessment).

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