The Asset Management Risk Assessment is a critical document required for asset management firms operating in Belgium, designed to meet both local and EU regulatory requirements. It becomes necessary when establishing new asset management operations, conducting periodic risk reviews, or responding to significant changes in investment strategies or market conditions. The document incorporates comprehensive risk analysis across multiple dimensions including market risk, operational risk, compliance risk, and strategic risk, while ensuring alignment with Belgian financial regulations and EU directives such as AIFMD and UCITS. This assessment serves as a fundamental tool for demonstrating compliance to the FSMA and NBB, while also providing management with a thorough understanding of their risk exposure and control effectiveness.
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1. 1. Executive Summary: High-level overview of key findings and critical risk areas identified
2. 2. Scope and Objectives: Definition of assessment scope, objectives, and methodology used
3. 3. Regulatory Framework: Overview of applicable Belgian and EU regulations governing the assessment
4. 4. Asset Portfolio Overview: Description of assets under management, investment strategies, and portfolio composition
5. 5. Risk Identification: Systematic identification of all relevant risks including market, credit, operational, and regulatory risks
6. 6. Risk Assessment Methodology: Detailed explanation of risk assessment approaches, metrics, and evaluation criteria
7. 7. Risk Analysis and Evaluation: Quantitative and qualitative analysis of identified risks, including impact and probability assessments
8. 8. Current Control Measures: Description of existing risk management controls and their effectiveness
9. 9. Risk Mitigation Strategies: Proposed measures and recommendations for risk mitigation
10. 10. Monitoring and Review: Framework for ongoing risk monitoring and periodic review procedures
11. 11. Governance and Responsibilities: Definition of roles and responsibilities in risk management
12. 12. Reporting Requirements: Outline of internal and regulatory reporting obligations
1. Specific Asset Class Analysis: Detailed risk assessment for specific asset classes (include when portfolio contains complex or unusual assets)
2. ESG Risk Assessment: Environmental, Social, and Governance risk analysis (include when ESG factors are material to the investment strategy)
3. Cross-Border Risk Analysis: Analysis of risks related to cross-border investments (include for international portfolios)
4. Technology and Cybersecurity Risks: Detailed assessment of IT and cybersecurity risks (include when digital assets or significant technological dependencies exist)
5. Client-Specific Requirements: Additional risk assessment criteria required by specific clients (include based on client agreements)
6. Stress Testing Scenarios: Additional stress testing and scenario analysis (include for complex portfolios or regulatory requirements)
1. Schedule A - Risk Assessment Matrices: Detailed risk scoring matrices and assessment criteria
2. Schedule B - Risk Register: Comprehensive register of all identified risks and their current status
3. Schedule C - Control Testing Results: Results of control effectiveness testing
4. Schedule D - Regulatory Compliance Checklist: Detailed checklist of regulatory requirements and compliance status
5. Schedule E - Risk Metrics and KPIs: Key risk indicators and performance metrics
6. Appendix 1 - Technical Analysis: Detailed technical analysis and methodologies
7. Appendix 2 - Data Sources: List of data sources and information used in the assessment
8. Appendix 3 - Glossary: Definitions of technical terms and abbreviations
9. Appendix 4 - Action Plan Template: Template for documenting and tracking risk mitigation actions
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