The Investment Adviser Internal Risk Assessment Index serves as an important part of an investment adviser’s overall compliance program by meeting certain requirements under SEC Rule 206(4)-7 or similar state requirements.  The customizable spreadsheet allows firms to memorialize their risk inventory & assessment processes and includes multiple columns, line items and drop down selections covering specific business areas, responsible supervisors, identified risks, risk levels, corresponding policies and control procedures, testing processes and remediation.  The Risk Assessment Index is designed to address certain regulatory focal points often highlighted during investment adviser regulatory examinations including Form CRS requirements.

Version/Update: V.4/May 1, 2021

Total Page Count/Format: 2/.xlsx (landscape)

Source/Author(s): Connexien