Risk assessment
Risk register
All identified compliance risks across assessments, with inherent and residual ratings.
| Ref | Risk | Impact × Likelihood | Inherent | Residual | Controls | Owner | Status |
|---|---|---|---|---|---|---|---|
| R-1001 | Incomplete customer due diligence Financial Crime · Client Onboarding AML & KYC — Retail Onboarding | Severe × Likely | High | Medium | 2 | Marc Lefèvre | Active |
| R-1002 | Onboarding of sanctioned parties Financial Crime · Sanctions AML & KYC — Retail Onboarding | Very severe × Unlikely | High | Low | 1 | Claire Dubois | Active |
| R-1003 | Suspicious transactions not escalated Financial Crime · Transaction Monitoring AML & KYC — Retail Onboarding | Severe × Likely | High | Medium | 1 | Marc Lefèvre | Active |
| R-2001 | Insider dealing by staff Market Conduct · Market Abuse Market Abuse — Securities Trading | Very severe × Unlikely | High | Medium | 1 | Sofia Martins | Draft |
| R-2002 | Market manipulation through order flow Market Conduct · Market Abuse Market Abuse — Securities Trading | Severe × Unlikely | Medium | Low | 1 | Sofia Martins | Active |
| R-2003 | Unrecorded client communications Market Conduct · Record Keeping Market Abuse — Securities Trading | Moderate × Likely | Medium | — | 1 | Sofia Martins | Active |
| R-3001 | Client data retained beyond legal period Data Protection · Data Lifecycle Data Protection — Client Records | Moderate × Likely | Medium | Low | 1 | Thomas Becker | Active |
| R-3002 | Unauthorised access to client records Data Protection · Access Management Data Protection — Client Records | Severe × Unlikely | Medium | Low | 2 | Thomas Becker | Active |