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Risk Management Agreement

Risk Management Agreement Template for Switzerland

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Key Requirements PROMPT example:

Risk Management Agreement

"I need a Risk Management Agreement for a Swiss private bank engaging an external risk management firm to provide comprehensive risk monitoring and reporting services, including regulatory compliance support and quarterly risk assessments, with the agreement to commence on March 1, 2025."

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Document background
The Risk Management Agreement is essential for organizations operating in Switzerland that require professional risk management services. This document is particularly relevant in the context of Swiss financial services regulations and FINMA requirements, establishing a formal arrangement between a risk management service provider and their client. The agreement details the scope of risk management services, including risk assessment, monitoring, reporting, and advisory services, while ensuring compliance with Swiss regulatory requirements. It's commonly used when organizations need to formalize their risk management framework, whether due to regulatory requirements, corporate governance needs, or operational risk management objectives. The agreement includes specific provisions for service delivery, performance standards, reporting requirements, and governance structure, all aligned with Swiss legal and regulatory framework.
Suggested Sections

1. Parties: Identification of the contracting parties, including full legal names, addresses, and registration details

2. Background: Context of the agreement, relationship between parties, and purpose of the risk management services

3. Definitions: Detailed definitions of technical terms, regulatory references, and key concepts used throughout the agreement

4. Scope of Services: Detailed description of risk management services to be provided, including specific risk areas covered

5. Service Provider's Obligations: Core responsibilities, delivery requirements, and performance standards for risk management services

6. Client's Obligations: Client's responsibilities, including information provision, access rights, and cooperation requirements

7. Governance and Reporting: Reporting structure, frequency of reports, review meetings, and escalation procedures

8. Fees and Payment Terms: Fee structure, payment schedule, expenses, and invoicing procedures

9. Confidentiality: Obligations regarding confidential information, data protection, and information security

10. Intellectual Property: Ownership and usage rights of risk management methodologies, tools, and deliverables

11. Term and Termination: Duration of agreement, renewal terms, and termination provisions

12. Liability and Indemnification: Limitation of liability, indemnification obligations, and insurance requirements

13. General Provisions: Standard clauses including notices, amendments, assignment, and governing law

Optional Sections

1. Regulatory Compliance: Specific section addressing compliance with FINMA requirements and other Swiss financial regulations - include when serving regulated entities

2. Business Continuity: Provisions for ensuring continuous service delivery and disaster recovery - relevant for critical risk management services

3. Sub-contractors: Terms governing the use of sub-contractors or third-party service providers - include if external resources will be used

4. Data Protection and Privacy: Detailed provisions for handling personal data under Swiss FDPA - required when processing personal data

5. Service Levels: Specific performance metrics and service level agreements - include for quantifiable services

6. Change Management: Procedures for implementing changes to services or requirements - relevant for long-term or complex engagements

Suggested Schedules

1. Schedule 1: Service Description: Detailed breakdown of risk management services, methodologies, and deliverables

2. Schedule 2: Fee Schedule: Detailed fee structure, rates, and payment terms

3. Schedule 3: Service Levels: Specific performance metrics, measurement criteria, and remedies

4. Schedule 4: Governance Framework: Detailed governance structure, roles, and responsibilities

5. Schedule 5: Report Templates: Standard formats for risk reports and other deliverables

6. Appendix A: Key Personnel: List of key team members and their roles

7. Appendix B: Technical Requirements: Technical specifications, systems, and tools to be used

8. Appendix C: Compliance Requirements: Specific regulatory requirements and compliance standards

Authors

Alex Denne

Head of Growth (Open Source Law) @ Genie AI | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Linkedin in social icon imageX social icon image
alex.den.21@genieai.co
Relevant legal definitions
Agreement
Applicable Laws
Approved Sub-contractors
Business Day
Client
Client Data
Confidential Information
Control Framework
Deliverables
Effective Date
Emergency
Fee Schedule
FINMA
Force Majeure Event
Governance Framework
Incident
Initial Term
Intellectual Property Rights
Key Performance Indicators
Key Personnel
Loss
Material Breach
Notice
Personal Data
Risk Assessment
Risk Categories
Risk Events
Risk Framework
Risk Management Services
Risk Matrix
Risk Metrics
Risk Profile
Risk Register
Risk Report
Risk Threshold
Risk Tolerance
Service Levels
Service Provider
Services
Swiss Banking Regulations
Swiss Financial Market Infrastructure Act
Term
Territory
Third Party Provider
Clauses
Scope of Services
Service Provider Obligations
Client Obligations
Fees and Payment
Governance
Reporting Requirements
Risk Assessment
Risk Monitoring
Performance Standards
Service Levels
Regulatory Compliance
FINMA Compliance
Data Protection
Confidentiality
Intellectual Property
Personnel
Sub-contracting
Insurance
Liability
Indemnification
Force Majeure
Term
Termination
Dispute Resolution
Governing Law
Assignment
Entire Agreement
Amendments
Notices
Severability
Business Continuity
Audit Rights
Anti-Money Laundering
Information Security
Change Management
Relevant Industries

Financial Services

Banking

Insurance

Asset Management

Investment Management

Private Equity

Hedge Funds

Corporate Treasury

Wealth Management

Pension Fund Management

Commodities Trading

Healthcare

Manufacturing

Technology

Energy

Relevant Teams

Risk Management

Compliance

Legal

Finance

Operations

Internal Audit

Treasury

Investment

Portfolio Management

Corporate Governance

Executive Management

Procurement

Information Security

Relevant Roles

Chief Risk Officer

Risk Manager

Compliance Officer

Chief Financial Officer

Chief Operating Officer

Legal Counsel

Risk Management Consultant

Risk Analyst

Compliance Manager

Operations Director

Portfolio Manager

Treasury Manager

Internal Auditor

Financial Controller

Investment Manager

Chief Executive Officer

Industries
Swiss Code of Obligations (OR/CO): The fundamental law governing contracts in Switzerland, providing the basic framework for contractual relationships, including formation, performance, and termination of contracts
Financial Market Infrastructure Act (FMIA): Regulates the organization and operation of financial market infrastructures and derivatives trading, including risk management requirements for financial institutions
Federal Act on Financial Services (FinSA): Sets rules for providing financial services and offering financial instruments, including risk disclosure requirements and client classification
Federal Act on Financial Institutions (FinIA): Establishes licensing requirements and supervisory provisions for financial institutions, including risk management obligations
Swiss Federal Data Protection Act (FDPA): Regulates the processing of personal data, which is relevant for risk management activities involving personal or sensitive information
FINMA Circulars: Various circulars issued by the Swiss Financial Market Supervisory Authority providing detailed requirements for risk management in financial institutions
Swiss Banking Act: Contains provisions relevant to risk management in banking relationships and financial services
Anti-Money Laundering Act (AMLA): Includes risk management requirements related to money laundering prevention and compliance obligations
Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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