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Risk management

Access articles, webcasts and other resources on risk management.

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Library resources

ICAEW's Library and Information Service hosts a selection of books, articles, links and guides on risk management, reputation management, business insurance and business continuity planning.

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Latest articles and other resources

COFAs – PI insurance claims and losses: are your client payment controls robust?

One of the COFA’s core duties is to safeguard client money by ensuring the law firm has sound accounting controls and procedures. Jason Mitchell looks at a law firm’s payment controls and at situations which could potentially lead to a professional negligence claim with the firm’s professional indemnity (PI) insurers or result in a financial loss to the practice.

Has your practice carried out a firm wide risk assessment?

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The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR17) require firms providing accountancy, trust or company services to take appropriate steps to identify and assess the risk that they could be used for money laundering, including terrorist financing.

GDPR – Client files

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Helpsheet issued by ICAEW’s Technical Advisory Service to help ICAEW members to understand the requirements of the GDPR as it relates to client files applied to common situations experienced by a member.

Data Management

Five years after data compliance requirement BCBS 239 was introduced, Rob Konowalchuk investigates what’s changed and where banks are heading.

How do you audit a robot?

Guidance for internal auditors on providing assurance over robotic process automation (RPA). The ICAEW’s Internal Audit Panel outline the key risks for organisations in implementing RPA and how internal audit can mitigate these risks. ICAEW members can download more detailed guidance.

Issue 9 March 2018

The ninth issue of 'Anti-money laundering - the essentials' covers: new HM Treasury guidance, firmj-wide risk assessment and a new AML compliance review checklist.

How to audit culture

This practical guide outlines the eight steps to follow to conduct a successful internal audit of culture.

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