Risk Management - Wholesale

This bundle is designed to allow a Wholesale AFS licensee to document their process for the identification/management of risk in their practice and their business continuity measures.  It includes guidance on risk management controls and developing a risk register and risk appetite statement.  It also provides suggestions for dealing with a major operational disruption.  It takes into account the requirements of sections 912A, 912B and 912D of the Corporations Act 2001, APRA Prudential Standard SPS 220, the Privacy Act 1988, ASIC Report 429: Cyber resilience: Health Check, ASIC’s RG 104 AFS Licensing: Meeting the general obligations, ASIC’s RG 259 Risk management systems of responsible entities, and Risk Management ISO 31000:2018 standard.  It also takes into account ASIC v RI Advice Group Pty Ltd [2022] FCA 496.