risk
Improper business or market practices
Losses from antitrust violations, market manipulation (spoofing, layering, front-running), benchmark/rate rigging, unlicensed business activity, and sanctions/export-control violations in the conduct of business.
Record JSON · Open in map · Data retrieval guide
Catalog revision: 24028ffcfc2b295fa1b08ee6caa84b765f0731b321496bf4f548c49ad2177028. A connection does not establish full coverage.
Attributes
- category
- compliance_regulatory
- domain
- Compliance, Audit & Assurance
- Governance, Policy & Oversight
- taxonomy
- basel-operational-risk
- inherent_rating
- high
Details
- risk_id
- compliance-improper-market-practices
- category
- compliance_regulatory
- likelihood
- low
- impact
- high
- inherent_rating
- high
- treatment
- mitigate
- taxonomies
- basel-operational-risk
Source
No record-specific source URL is provided.
Connections
- UC-GOV-22 — Assess control effectiveness and authorize systems mitigates Improper business or market practices
- strength
- related
- rationale
- UC-GOV-17 — Establish enterprise risk management strategy and appetite mitigates Improper business or market practices
- strength
- related
- rationale