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STRATEGIC RISKS
Three year planning period
Assessment of Risks - STRATEGIC
*
Likelihood
Impact
Disintermediation of GI Market – Robo & AI
Rare
Unlikely
Possible
Likely
Almost Certain
Insignificant
Minor
Moderate
Major
Catastrophic
Broader economic slowdown
Rare
Unlikely
Possible
Likely
Almost Certain
Insignificant
Minor
Moderate
Major
Catastrophic
Remuneration Models
Rare
Unlikely
Possible
Likely
Almost Certain
Insignificant
Minor
Moderate
Major
Catastrophic
Business model changes
Rare
Unlikely
Possible
Likely
Almost Certain
Insignificant
Minor
Moderate
Major
Catastrophic
AR M&A Poor Activity Results
Rare
Unlikely
Possible
Likely
Almost Certain
Insignificant
Minor
Moderate
Major
Catastrophic
Meeting shareholder expectations
Rare
Unlikely
Possible
Likely
Almost Certain
Insignificant
Minor
Moderate
Major
Catastrophic
Failure to transition AB's to new ownership
Rare
Unlikely
Possible
Likely
Almost Certain
Insignificant
Minor
Moderate
Major
Catastrophic
Regulatory breaches and impact on licence
Rare
Unlikely
Possible
Likely
Almost Certain
Insignificant
Minor
Moderate
Major
Catastrophic
Disruptive competitor activity or significant shift in value proposition
Rare
Unlikely
Possible
Likely
Almost Certain
Insignificant
Minor
Moderate
Major
Catastrophic
Attract and Retain quality staff
Rare
Unlikely
Possible
Likely
Almost Certain
Insignificant
Minor
Moderate
Major
Catastrophic
Are there any other Strategic Risks not covered that should be included?
Yes
No
If yes, please describe: 1) Business context and; 2) Risk cause(s)
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OPERATIONAL RISKS
Three year planning period
Assessment of Risks - Operational
Likelihood
Impact
Execute Strategic Initiatives
Rare
Unlikely
Possible
Likely
Almost Certain
Insignificant
Minor
Moderate
Major
Catastrophic
Health Safety Environment (HSE) Risks including Motor Vehicle Driving Risk, inappropriate conduct by staff and AB's
Rare
Unlikely
Possible
Likely
Almost Certain
Insignificant
Minor
Moderate
Major
Catastrophic
Cyber security breaches
Rare
Unlikely
Possible
Likely
Almost Certain
Insignificant
Minor
Moderate
Major
Catastrophic
Internal Systems and processes
Rare
Unlikely
Possible
Likely
Almost Certain
Insignificant
Minor
Moderate
Major
Catastrophic
Trust account fraud
Rare
Unlikely
Possible
Likely
Almost Certain
Insignificant
Minor
Moderate
Major
Catastrophic
Disaster recovery
Rare
Unlikely
Possible
Likely
Almost Certain
Insignificant
Minor
Moderate
Major
Catastrophic
Staff Wellbeing
Rare
Unlikely
Possible
Likely
Almost Certain
Insignificant
Minor
Moderate
Major
Catastrophic
Compliance
Rare
Unlikely
Possible
Likely
Almost Certain
Insignificant
Minor
Moderate
Major
Catastrophic
External fraud
Rare
Unlikely
Possible
Likely
Almost Certain
Insignificant
Minor
Moderate
Major
Catastrophic
Change in regulation
Rare
Unlikely
Possible
Likely
Almost Certain
Insignificant
Minor
Moderate
Major
Catastrophic
Are there any other Operational Risks not covered that should be included?
Yes
No
If yes, please describe: 1) Business context and; 2) Risk cause(s)
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FINANCIAL RISKS
Three year planning period
Assessment of Risks - FINANCIAL
*
Likelihood
Impact
Market Risk - Asset Concentration
Rare
Unlikely
Possible
Likely
Almost Certain
Insignificant
Minor
Moderate
Major
Catastrophic
Credit Risk
Rare
Unlikely
Possible
Likely
Almost Certain
Insignificant
Minor
Moderate
Major
Catastrophic
Capital Management
Rare
Unlikely
Possible
Likely
Almost Certain
Insignificant
Minor
Moderate
Major
Catastrophic
Are there any other Financial Risks not covered that should be included?
Yes
No
If yes, please describe: 1) Business context and; 2) Risk cause(s)
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