Breach of guidelines scenario template
- Mustafa Cavus
- Sep 27, 2023
- 1 min read
Since there was a lot of interest in the Operational Risk Scenario Template, we have decided to share with our audience more specific templates for assessing operational risks - the "Breach of Investment Guidelines" Risk Scenario.
The breakdown of potential losses, along with the scenarios of typical and worst-case events, offers a practical way to calculate risks and plan remediation strategies. Having clear guidelines for evaluating key causes, controls, and potential impacts—such as legal liability, regulatory fines, and brand damage—ensures that firms can respond swiftly to breaches and maintain compliance.
This template is especially helpful for investment teams looking to bolster their internal checks and prevent errors in a volatile market. Plus, the inclusion of real-life events provides excellent context for how breaches could occur and what mitigation strategies can be employed. If you're managing an investment portfolio or overseeing compliance, this scenario template is a must-have for strengthening your operational risk management!