Financial Policies & Procedures Manual

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Procedures Manual Sections:

Risk Assessment Policy Procedure

The Risk Assessment Policy Procedure is available in the Finance Policies and Procedures manual.

The Risk Assessment Policy and Procedures prioritizes risks in order to manage them effectively and efficiently. The procedure substantially decreases the opportunity for material weaknesses to go undetected. It pertains to the identification and assessment of risk. (18 pages, 3860 words)

Activities Covered in the Risk Assessment Policy Procedure

Form a Risk Management Committee
Identify Hazards/ Threats
Identify Threat Impact and Likelihood
Determine Risk Levels
Rank Threats
Risk Assessment Review

References Used in the Risk Assessment Policy Procedure

17 CFR 210, ?Form and Content of and Requirements for Financial Statements, Securities Act of 1993, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, Investment Company Act of 1940, Investment Advisers Act of 1940, and Energy Policy and Conservation Act of 1975?
17 CFR 240, ?General Rules and Regulations, Securities Exchange Act of 1934?.
17 CFR 241, ?Interpretative Release Relating to the Securities Exchange Act of 1934 and General Rules and Regulations Thereunder? (USA),
1996 Amendment to the Capital Accord to Incorporate Market Rises

Forms Included in the Risk Assessment Policy Procedure

Risk Assessment/Management Worksheet Form
Sample Chart of Accounts Form
Internal Control Checklist Form