Trading Risk Log Form
Document and assess trading risk incidents or exposures for compliance and follow-up.
Date and Time of Incident
*
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Hour Minutes
AM
PM
AM/PM Option
Trade Reference or Instrument
*
Type of Risk
*
Please Select
Market Risk
Credit Risk
Operational Risk
Liquidity Risk
Legal/Regulatory Risk
Other
Brief Description of Incident/Exposure
*
Severity of Impact
*
Low
Moderate
High
Critical
Likelihood of Recurrence
*
Very Unlikely
1
2
3
4
Very Likely
5
1 is Very Unlikely, 5 is Very Likely
Mitigation or Control Actions Taken
*
Person Responsible for Follow-up
*
Follow-up Deadline
*
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Current Status
*
Please Select
Open
In Progress
Closed
Escalated
Submit Risk Log
Should be Empty: