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Unit 14: Types of Risk and Required Disclosures (3qs) - Coggle Diagram
Unit 14: Types of Risk and Required Disclosures (3qs)
Contrast systematic and nonsystematic risks
Systematic risk
market risk
Interest Rate Risk
Reinvestment Risk
Inflation Risk (Purchasing Power Risk)
Nonsystematic (Unsystematic) Risk
Business Risk
Financial Risk
Regulatory Risk
Legislative Risk
Political Risk
Sovereign Risk
Liquidity Risk
Currency or Exchange Rate Risk
Identify the required risk disclosures.
Risk Disclosures
Control Relationships
Regulation Fair Disclosure (FD)
Tender Offers
Margin Risk Disclosure Document
Determine if exploitation is happening in an account
Specified Adult Exploitation
Prevention
Safe harbor :check: