Actions to Control Risk Risk Back-ground Current Risk improve Action Time Ref Objectives Impact Category to the risk controls manage-ment Owner Risk risk of the risk 8 Continuous Process Power Unexpected Major 4 Likely 4 16 Generators Good 0.40 6.4 4 1.6 CEO Management COO Nov. availability of cuts/outages power failures installed for to review when 2014 trading system alternative additional and operational energy supply lines environments supply; should be UPS; installed Revise Red Amber current plan to incorporate new generators 9 Sustainable Process Business Possible Major 4 Likely 4 16 Separate Good 0.40 6.4 4 1.6 CEO IT External IT Aug. electronic sales failure of IT data back-up Audit review in Manager 2014 processing trading room progress system (IT) platform elsewhere on site Red Amber
Ref Objectives Risk Category Risk Back-ground to the risk Impact Risk Current controls Control risk Risk Actions to improve manage-ment of the risk Action Owner Time 8 Continuous availability of trading system and operational environments Process Power cuts/outages Unexpected power failures Major 4 Likely 4 Red 16 Generators installed for alternative energy supply; UPS; Revise current plan to incorporate new generators Good 0.40 Amber 6.4 4 1.6 CEO Management to review when additional supply lines should be installed COO Nov. 2014 9 Sustainable electronic sales processing system (IT) Process Business Possible failure of IT trading platform Major 4 Likely 4 Red 16 Separate data back-up room elsewhere on site Good 0.40 Amber 6.4 4 1.6 CEO IT External Audit review in progress IT Manager Aug. 2014
Mid-Year%20Report%202014-02-24.docx