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📊 Risk & Regulatory
AM1 – AM3  ·  AM6
Modules
My Outstanding Issues2 Critical
RAGIssuePri
FINMA DORA GapsCrit
AML Alert BacklogCrit
Cloud Concentration 63%High
FX Litigation USD 380MHigh
Risk & Regulatory — Compliance Dashboard
My Outstanding Issues  ·  New_Co Group  ·  Head of Compliance: Ms. S. Hoffmann
As of 21 May 2026
FY 2025  ·  Monthly compliance review
DORA Obligations
47
3 material gaps  ·  FINMA-flagged
Regulatory Bodies
19+
International, EU, CH, US
Policies Active
14
3 overdue for review
Countries Monitored
9
Across 3 regions
📜 AM1: Regulation Management — DORA Compliance 3 Gaps
47 obligations tracked  ·  FINMA supervisory letter issued 15 Nov 2024
ICT Risk Management
85%
ICT Asset Classification
90%
Incident Reporting (72h SLA)
55%
Register of Information
62%
ICT Risk Appetite (Board)
40%
Business Continuity (BCP)
78%
Third-party Risk Oversight
82%
FINMA Action Required
Written confirmation of full remediation due 30 June 2025. CRO assigned as accountable owner.
🏛️ Regulatory Bodies Monitored 19+ Active
International
FSB BCBS / BIS IAIS IOSCO CPMI ISO / IEC NIST
Europe & Switzerland
FINMA ⚠ EBA ECB / SSM ESMA EIOPA SNB
Americas & Asia
OCC / FRB / FDIC SEC / CFTC OSFI MAS RBI
📋 AM2: Corporate Policies Register 14 Policies
IDTitleLevelCategoryStatus
GR_EC_L00_001Employee ConductL00 GroupConductActive
LE_001_POL_404352Enterprise Risk Governance PolicyL00 GroupRisk MgmtActive
LE_001_PL_001Regulation on AI GovernanceL01 DivisionAI GovernanceActive
UBS_1Operational Resilience PolicyL01 DivisionOp RiskActive
DI_RM_L01_001Risk Management StandardL01 DivisionRisk MgmtReview due
GR_FI_L00_002Financing & Investing PolicyL00 GroupFinanceReview due
FU_FI_L03_001Financing Investing StandardL03 FunctionFinanceExpired
🌎 AM3: External Risk Factor Analysis Macroeconomic & Financial Markets
Macroeconomic Indicators
GDP Growth (Global)
+2.8%
Projected: +2.5%  ·  ▼ Slowing
Inflation Rate (EU)
3.1%
Target: 2.0%  ·  ▲ Above target
Interest Rates (SNB)
1.25%
▼ Reduced  ·  Stable outlook
Unemployment (CH)
2.6%
▲ Slightly elevated
Financial Markets
Volatility Index (VIX)
22.4
▲ Elevated  ·  Monitor
Credit Spreads (IG)
+85bps
▲ Widening trend
🌍 AM6: Country Risk Management 9 Countries Active
CountryRegionRisk ScoreRisk LevelTrend
SwitzerlandEMEA1.8 / 10Low▲ Stable
GermanyEMEA2.1 / 10Low▲ Stable
FranceEMEA2.8 / 10Low▶ Watch
USAAmericas2.3 / 10Low▲ Stable
CanadaAmericas2.0 / 10Low▲ Stable
BrazilAmericas5.4 / 10Medium▼ Deteriorating
IndiaAsia3.8 / 10Medium▲ Improving
ChinaAsia4.9 / 10Medium▶ Watch
KoreaAsia3.2 / 10Medium▲ Stable