White Papers

Operational Risk: Tailoring the right model for asset management firms


When implementing an Operational Risk Management (ORM) program, complexity, firm size and resources may vary, but the underlying concept remains the same: for a firm to succeed in today’s environment, priority should be given to operational practices that not only reduce risk, vulnerabilities and loss, but also connect processes, systems and people.

SIFMA’s Asset Managers Forum (AMF) Operational Risk Committee and Broadridge jointly address this topic in a white paper titled “Operational Risk: Tailoring the right model for asset management firms”. Through this white paper, we share insights to help you customize the right program for your firm, and explore efficient and effective ways smaller and mid-sized asset management firms can develop the most critical aspects of an operational risk framework.