Risk Assessment Questionnaire For Banks

Risk Assessment Questionnaire For Banks Template for Switzerland

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Key Requirements PROMPT example:

"I need a Risk Assessment Questionnaire for Banks that specifically addresses digital banking risks and fintech integration, as we're launching new online banking services in March 2025, while ensuring compliance with latest FINMA regulations for Swiss banks."

Document background

The Risk Assessment Questionnaire For Banks is a critical regulatory compliance tool used by banking institutions operating under Swiss jurisdiction. It is designed to meet FINMA's requirements for comprehensive risk assessment and management, incorporating elements from the Swiss Banking Act, Anti-Money Laundering Act, and international banking standards. The questionnaire should be completed periodically or when significant changes occur in the bank's operations, risk profile, or regulatory environment. It covers various risk categories including financial, operational, compliance, and strategic risks, serving as both a regulatory compliance document and a management tool for risk evaluation and control. The document helps banks demonstrate their compliance with Swiss banking regulations while providing a structured framework for identifying, assessing, and managing risks effectively.

Suggested Sections

1. General Information: Basic details about the bank including name, license type, address, and key contact personnel

2. Corporate Structure and Governance: Information about ownership structure, board composition, and management organization

3. Business Profile: Overview of banking activities, products, services, and target markets

4. Risk Management Framework: Details of the bank's overall risk management approach, policies, and procedures

5. Financial Risk Assessment: Evaluation of credit risk, market risk, and liquidity risk exposures and management

6. Operational Risk Assessment: Assessment of operational risks including IT, outsourcing, and business continuity

7. Compliance and Regulatory Risk: Evaluation of compliance framework, including AML/CTF measures and regulatory reporting

8. Internal Controls and Audit: Description of internal control systems and audit procedures

9. Customer Due Diligence: Assessment of customer onboarding, KYC procedures, and ongoing monitoring

10. Data Protection and Security: Evaluation of data protection measures and information security systems

Optional Sections

1. Cross-border Activities: Assessment of risks related to international operations and cross-border services, required if bank operates internationally

2. Investment Banking Activities: Detailed assessment of investment banking risks and controls, required for banks with investment banking operations

3. Asset Management Operations: Risk assessment specific to asset management activities, required for banks offering asset management services

4. Digital Banking Services: Assessment of risks related to digital banking platforms and fintech solutions, required for banks offering digital services

5. Private Banking Risk Assessment: Specific risk evaluation for private banking services, required for banks offering private banking

6. Trading Activities: Assessment of trading-related risks and controls, required for banks with trading operations

Suggested Schedules

1. Risk Assessment Scoring Matrix: Detailed scoring criteria and methodology for risk assessment

2. Required Documentation Checklist: List of supporting documents required for verification of responses

3. Risk Categories and Definitions: Detailed definitions and explanations of risk categories used in the questionnaire

4. Regulatory Reporting Requirements: Schedule of regulatory reporting obligations and deadlines

5. Control Assessment Framework: Framework for evaluating the effectiveness of risk controls

6. Risk Appetite Statement Template: Template for documenting the bank's risk appetite and tolerances

7. Action Plan Template: Template for documenting remediation actions for identified risks

8. Incident Reporting Framework: Guidelines and templates for reporting risk incidents

Authors

Alex Denne

Head of Growth (Open Source Law) @ ��Ƶ | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

alex.den.21@genieai.co

Relevant legal definitions

Clauses

Relevant Industries

Banking and Financial Services

Financial Technology

Investment Services

Wealth Management

Asset Management

Insurance

Financial Consulting

Regulatory Compliance Services

Risk Management Services

Relevant Teams

Risk Management

Compliance

Internal Audit

Legal

Operations

Finance

Executive Management

Board of Directors

Regulatory Reporting

Anti-Money Laundering

Information Security

Data Protection

Relevant Roles

Chief Risk Officer

Head of Compliance

Risk Manager

Compliance Officer

Chief Executive Officer

Chief Financial Officer

Internal Audit Director

Legal Counsel

Operations Director

Head of Banking Operations

Financial Controller

AML Compliance Officer

Risk Assessment Specialist

Regulatory Reporting Manager

Board Member

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Authors

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