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Compliance Risk Assessment Form

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fremarknepuscua.uhymac
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126 views2 pages

Compliance Risk Assessment Form

Uploaded by

fremarknepuscua.uhymac
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as DOCX, PDF, TXT or read online on Scribd

Compliance Risk assessment Form

GENERAL INFORMATION
Department/Unit:
Assessment Date:
Assessor Name/Title:
Contact Information:
Reviewed by:
Review date:

Risk Identification
Risk Regulatory Potential Likelihood Existing
Risk Category
Description Reference Impact Occurrence Controls
[ ] Financial [ ] High [ ] Rare
[ ] Operational [ ] Medium [ ] Unlikely
[ ] Reputational [ ] Low [ ] Possible
[ ] Legal [ ] Likely
[ ] Strategic [ ] Almost certain

Risk Evaluation
Impact Level
Likelihood Risk Score Risk Rating
(High, Overall Risk Evaluation
Level (High, (Impact x (High, Medium,
Medium, (Acceptable/Unacceptable)
Medium, Low) Likelihood) Low)
Low)

Risk Mitigation and Action Plan


Mitigation Responsible Resources Monitoring & Review
Timeline
Measures Party Required Process

Final Assessment and Sign-Off


Overall Risk Profile:

High

Medium

Low

Comments/Recommendations:

Assessor’s Signature:

Date:

Reviewed by:

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