Читать книгу Non-financial Risk Management in the Financial Industry - Группа авторов - Страница 121

Upon identification of “caution” or “limit” threshold breaches, four types of actions are typically undertaken:

1 the root cause is investigated;

2 findings are issued;

3 remedial actions are designed and launched;

4 the risk source (e.g. the division or legal entity) is put under enhanced monitoring, including a periodic reporting.

Based on the adopted metrics and indicators, entities shall define criteria to determine the severity of breaches and the priority of related remedial actions.