Risk Assessment

Clauses 6.1.2 and 8.2 assessment linking catalogued risks to treatment decisions.

RiskAssessmentISO/IEC 42001:2023v0.1.0draft

Dated assessment of risks in the apa-risks catalog for the AI Portfolio Assistant, informed by the system impact assessment and producing treatment decisions recorded in the applicability profile.

Clauses: 6.1.28.2

entries (7)

ra-client-confidentiality-breachra-client-confidentiality-breach

Likelihood

Possible

ra-unsuitable-investment-influencera-unsuitable-investment-influence

Likelihood

Possible

ra-unauthorized-tradingra-unauthorized-trading

Likelihood

Unlikely

ra-regulatory-non-compliancera-regulatory-non-compliance

Likelihood

Unlikely

ra-market-conduct-breachra-market-conduct-breach

Likelihood

Unlikely

ra-operational-overreliancera-operational-overreliance

Likelihood

Likely

ra-model-supply-chain-exposurera-model-supply-chain-exposure

Likelihood

Possible