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Investment Management Risk Assessment
Create a professional, comprehensive risk assessment for investment management in financial services settings. Tailor hazards and measures to your needs and download a professional PDF. Add your own branding.
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What this covers
This template focuses on typical risks and controls for investment management in financial services settings. You can add, remove or adapt items to match your context.
Potential benefits
Ensures alignment of investments with clients’ financial goals.
Enhances portfolio growth through strategic asset allocation.
Reduces risks through diversification and informed decision-making.
Provides access to professional expertise in financial markets.
Increases transparency with regular performance reporting.
Typical hazards & measures
Inflationary pressures
— Invest in assets that traditionally hedge against inflation, such as commodities and real estate. Adjust portfolio allocations to include inflation-linked bonds. Monitor inflation indicators and economic policies regularly.
Tax policy changes
— Maintain flexibility in investment strategies to adapt to tax law changes. Engage tax professionals to monitor legislative developments and assess their impact. Implement tax-efficient investment practices, such as tax-loss harvesting.
Geopolitical instability
— Stay informed about global political developments. Diversify investments geographically to spread risk. Develop contingency plans for geopolitical events that may impact markets.
Foreign exchange fluctuations
— Implement hedging strategies using forward contracts and options. Monitor currency exposures regularly and adjust positions as needed. Align investment strategies with currency risk appetite.
Counterparty risks
— Perform due diligence on counterparties' financial health. Diversify exposures across multiple counterparties. Use collateral agreements and netting arrangements to mitigate potential losses.
How to use this template
Click Create Risk Assessment: Investment Management to begin immediately.
Review suggested hazards and measures, then tailor as needed.
Download your PDF. Create a free account if you want to save.
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