Operational Risk Management
Oren Chaplin, a member of the Securities Practice group, authored Operational Risk Management for the October issue of The Active Manager, the bimonthly journal of the National Association of Active Investment Managers.
The article discusses the SEC's operational risk assessment audit that subjects adviser's to inquiries about their risk assessment documentation, including the inventory of compliance risks, minutes from risk committee meetings, and standard operating procedure.
You can read the article here.
