Risk Management in Finance

7.

Legal and Regulatory Risk

7.1.

Sources of Legal Risk

7.1.1.

Contractual Risk

7.1.1.1.

Contract Interpretation

7.1.1.2.

Enforceability Issues

7.1.2.

Litigation Risk

7.1.2.1.

Civil Litigation

7.1.2.2.

Regulatory Enforcement

7.1.3.

Regulatory Compliance Risk

7.1.3.1.

Changing Regulations

7.1.3.2.

Interpretation Risk

7.1.4.

Documentation Risk

7.1.4.1.

Inadequate Documentation

7.1.4.2.

Missing Legal Opinions

7.2.

Managing Legal and Regulatory Risk

7.2.1.

Legal Due Diligence

7.2.1.1.

Contract Review

7.2.1.2.

Legal Opinion Requirements

7.2.2.

Compliance Programs

7.2.2.1.

Compliance Monitoring

7.2.2.2.

Training Programs

7.2.3.

Monitoring Regulatory Changes

7.2.3.1.

Regulatory Intelligence

7.2.3.2.

Impact Assessment

7.2.4.

Engaging Legal Counsel

7.2.4.1.

Internal Legal Teams

7.2.4.2.

External Legal Advisors

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8. Reputational Risk