The Risk Assessment and Management Policy serves as a fundamental governance document for organizations operating in Hong Kong's business environment. It is essential for establishing a systematic approach to identifying, assessing, and managing risks across various operational aspects. The policy is designed to comply with Hong Kong's regulatory requirements, including the Companies Ordinance, Securities and Futures Ordinance, and industry-specific regulations. Organizations should implement this policy to demonstrate proper corporate governance, protect stakeholder interests, and maintain regulatory compliance. The document typically includes detailed procedures for risk identification, assessment matrices, control measures, reporting structures, and review mechanisms, making it particularly relevant for listed companies and regulated industries in Hong Kong.
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1. Purpose and Scope: Defines the objectives of the policy and its application scope within the organization
2. Definitions: Key terms and concepts used throughout the policy
3. Risk Management Framework: Overview of the organization's approach to risk management, including key principles and methodology
4. Roles and Responsibilities: Detailed breakdown of responsibilities for board, management, risk committee, and employees
5. Risk Assessment Process: Step-by-step procedures for identifying, analyzing, and evaluating risks
6. Risk Categories: Classification and description of different types of risks (strategic, operational, financial, compliance, etc.)
7. Risk Treatment and Control Measures: Methods and procedures for addressing and mitigating identified risks
8. Monitoring and Review: Procedures for ongoing monitoring of risks and effectiveness of control measures
9. Reporting Requirements: Structure and frequency of risk reporting at various organizational levels
10. Documentation and Record Keeping: Requirements for maintaining risk assessment records and related documentation
1. Industry-Specific Risk Considerations: Additional section for organizations in regulated industries (e.g., financial services, healthcare) addressing sector-specific risks
2. Crisis Management and Business Continuity: Optional section linking risk management to business continuity planning
3. Environmental Risk Management: Section for organizations with significant environmental impact or ESG considerations
4. Technology and Cybersecurity Risks: Detailed section for organizations with significant digital operations or data handling
5. Third-Party Risk Management: Section for organizations with significant reliance on vendors or external partners
6. Project Risk Management: Section for organizations frequently engaging in project-based work
1. Risk Assessment Matrix: Template and guidelines for risk evaluation and prioritization
2. Risk Register Template: Standard format for documenting and tracking identified risks
3. Control Assessment Checklist: Checklist for evaluating effectiveness of control measures
4. Risk Reporting Templates: Standardized formats for various risk reports
5. Risk Management Procedures: Detailed step-by-step procedures for specific risk assessment activities
6. Regulatory Compliance Checklist: List of relevant Hong Kong regulations and compliance requirements
7. Risk Management Committee Charter: Terms of reference for the risk management committee
8. Incident Reporting Forms: Templates for reporting risk incidents and near-misses
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Banking
Insurance
Manufacturing
Real Estate
Technology
Healthcare
Retail
Logistics
Professional Services
Education
Construction
Energy
Telecommunications
Relevant Teams
Risk Management
Internal Audit
Compliance
Legal
Finance
Operations
Human Resources
Information Technology
Strategy
Quality Assurance
Project Management Office
Corporate Governance
Business Development
Research and Development
Relevant Roles
Chief Risk Officer
Chief Executive Officer
Chief Financial Officer
Chief Operating Officer
Risk Manager
Compliance Manager
Internal Audit Manager
Department Director
Operations Manager
Project Manager
Legal Counsel
Board Secretary
Financial Controller
Business Unit Head
Quality Assurance Manager
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