Risk Management & Internal Controls.
Risk management and internal controls are important safeguards that enable an issuer to achieve its operational, reporting and compliance objectives. There is, however, no “one-size-fits-all” approach in terms of putting in place and maintaining an effective system of risk management and internal controls - each issuer has to first identify its strategic objectives, consider relevant risks to achieving these objectives and then create a system that is appropriate for the issuer’s individual risk profile and circumstances. As an issuer’s business, and its risk profile, may change over time, it should monitor its risk management and internal control systems on an ongoing basis and conduct periodic reviews of the systems’ effectiveness.
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