Some of these 17 documents are based on the OCC's Community Bank Supervision Handbook which has since been updated. The Handbook has samples of matrixes and what to use to evaluate your risks.

2018年5月29日 · The ABA UDAAP Risk Assessment Matrix provides a systematic method to assess and manage UDAAP risk. Note that it is not designed to be the blueprint for a …

Your risk assessment should drive your policies and procedures, which help mitigate and manage those risks. A thorough risk assessment considers BSA/AML, fraud, OFAC, and institution-specific factors, such as business lines and subsidiaries and how all of these factors interrelate.

The BSA/AML risk assessment should provide a comprehensive analysis of the bank’s ML/TF and other illicit financial activity risks. Documenting the BSA/AML risk assessment in writing is a sound practice to effectively communicate ML/TF and other illicit financial activity risks to appropriate bank personnel.

Banks and examiners may use the following matrix to formulate summary conclusions. Prior to using this matrix, they should complete the identification and quantification steps detailed in the BSA/AML Risk Assessment Overview section at page 18 of this manual.

The risk assessment template focuses on the assessment of threat and vulnerabilities as the main components of the ML/TF risk. SIP NRA Template is an Excel file with 5 assessment areas (ML Prevailing Crime Type/TF Threat Analysis, Legal/Judicial/Institutional Framework, Economic and Geographical Environment, Financial Institutions and DNFBPs ...

Examiners should use the following matrix, as appropriate, when assessing a bank’s risk of encountering an OFAC issue. Stable, well-known customer base in a localized environment. Customer base changing due to branching, merger, or acquisition in the domestic market. A large, fluctuating client base in an international environment.

A RAM is a matrix that is used during risk assessment to define the various levels of risk as the combination of probability and consequence categories. Figure 1, derived from ISO 17776, shows a typical example.

2024年4月3日 · The risk assessment matrix is a methodology to assess the risk through a diagram chart representing the usual two axes (X & Y axes). The vertical axe (Y axe) represents the likelihood of the...

This document provides a risk matrix assessment for a bank. It identifies risks related to organizational policies/procedures, resourcing/staffing, transactions processing, and capital levels. For each risk, it defines the risk, objectives, existing controls, and proposed tests. Most risks are rated as low likelihood but with inadequate controls.