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Risk management after an IPO-The risk management checklist - EY - Global

Risk management after an IPO

The risk management checklist

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Managing risk is not something that is done just once; it should be an integral part of the business — something that is monitored and enhanced regularly.

To improve its approach to risk management, an organization needs to understand the risks that could hamper its achievement of business objectives and find effective ways to respond to them.

This checklist provides a quick way to assess whether a business has the necessary elements of a good risk management framework in place.

  • A tick in a “no” or “not sure” box indicates an important gap in the organization’s approach to risk — such gaps should be addressed as a matter of urgency.
  • Items that receive a “yes” tick should be scheduled for further review. It is important to demonstrate that these elements of the risk management framework are working as intended and that opportunities for improvement are being identified. Action here can help the business to gain even greater value from its risk management efforts.
 YesNoNot Sure
Do you have a formal risk management framework?
Have you clearly defined your risk appetite?
Do you perform an annual enterprise-wide risk assessment?
Are processes in place so that risk management is aligned to corporate strategies?
Have you evaluated the advantages and disadvantages of outsourcing or co-sourcing the functions needed to support the risk management plan?

 YesNoNot Sure
Do your risk and compliance functions throughout the organization work together?
Do your risk functions focus on the most important risks?
Do your risk functions improve your business performance?
Does your internal audit department have a clear mandate that addresses strategic, operational, financial and compliance risk?

 YesNoNot Sure
Have you established clear governance over risk and risk management?
Have you defined board committees with a focus on specific risk areas and considered the appropriateness of a risk committee?
Do you clearly articulate your risk assessment and risk management processes to the public markets?


Give yourself one point for each time you answered “yes.”

  • If you score between 10 and 12 points, congratulations, you’ve built a strong foundation for your risk management program.
  • If you score between six and nine points, you have implemented several good initiatives but have the opportunity to do even more to strengthen your risk management program.
  • If you score fewer than six points, seize the opportunity now to put a risk management program in place and have a positive impact on your organization’s business performance.

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EY - Risk management after an IPO


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