Share Event

Loading Events

Risky Business – Managing Risk Today for Tomorrow’s Uncertainty

Tuesday, Nov. 6 | 5:30 – 8:00 PM
Followed by a Catered Networking Reception

Business Management Group
Performance and Risk Analytics Research Group



Members: $30
Nonmembers: $70

Register to Attend


Members Only

Register for Livestream
This event will focus on the risk management frameworks for financial service s companies. There are multiple layers of risk, several regulatory bodies that define risk, and executives that have their own risk appetite. The purpose of the discussion is to explore how different firms of different sizes identify, measure, monitor, and control risk. This discussion will also highlight the importance of risk to investors and how to navigate investors view of risks versus their own.

Learning Outcomes

  • How/when to use risk appetite statements
  • Developing and managing the control environment
  • Key Risk Indicators – what they, how do you use them, and how do they differ from Key Performance Indicators
  • Development and importance of risk assessments
  • The role that company size and culture plays in the way a firm views risk

Features, Benefits, Values

This event will help members an dot hers gain insight into how different firms define risk and how they go about managing it as part of their day – to-day business. The audience should walk away with an under standing of how/when risk appetite statements are developed, examples of how control environments are managed, what/what kind of Key Risk Indicators are used to monitor risk, and the purpose/importance of risk assessments.



Andrew Auslander, CFA, FRM, Chair of the GARP Committee



Joanna Horowitz, CFA, Senior Consultant, Alternative Investment advisory and Corporate Responsibility & Diversity Lead, Monticello Consulting


John Robbins, CCO, ICE Data Services

Ken Tays, Governance Risk and Control Practice Leader, Broadridge Consulting

Dan Nikci, CPA, Principal, Applied Fund Solutions, LLC

John Holzwarth, CCO & Director, Perkins Fund Marketing


Alton Crooks, CFA, MBA, Chair of the Business Management Committee


References herein to any specific sponsor or service do not necessarily constitute or imply the endorsement, recommendation or favoring by CFA Society New York. CFA Society New York strives to be a community for diverse opinions and differing perspectives, and the views and opinions expressed by speakers, presenters and/or organizers at events do not necessarily state or reflect those of CFA Society New York.

CFA Society New York expects all attendees to comply with CFA Society New York’s Code of Conduct while attending CFA Society New York events or meetings. CFA Society New York expressly reserves the right, in its sole discretion, to grant or deny access to any individual, or to expel any individual from any CFA Society New York event or meeting.

CFA Society New York (“CFANY”) is not a Registered Investment Advisor, Broker/Dealer, Financial Analyst, Financial Bank, Securities Broker, or Financial Planner. While CFANY seeks to present accurate and reliable information, CFANY does not endorse, approve, or certify such information, nor does it warrant or guarantee the accuracy, completeness, efficacy, timeliness, or fitness of such information for any particular purpose. Information presented may or may not be current as of the date of the presentation, and CFANY has no duty to update and maintain the information, reports, or statements made during events. CFA Society New York specifically disclaims any such express or implied warranties. CFA Society New York and its affiliates, agents, and licensors will not be liable to you or anyone else for any loss or injury, caused in whole or in part by their negligence of contingencies beyond their control in procuring, compiling, reporting interpreting or delivering the information. In no event will CFA Society New York and its affiliates, agents, and licensors be liable to you or anyone else for any damages, including but not limited to consequential, special, indirect and incidental damages, even if advised of the possibility of such damages.

The information presented is provided for information purposes only, and is not intended to be and does not constitute financial advice, investment advice, trading advice, or any other advice, is general in nature, and is not specific to you. None of the information presented is intended as an offer or solicitation of an offer to buy or sell, or as a recommendation, endorsement, or sponsorship of any security, company, or fund. CFANY is not responsible for any investment decision made by you.

You should not make any financial, investment, trading or other decision based upon any of the information presented at CFANY without undertaking your own independent due diligence and consulting with a qualified and registered securities professional. You understand that your use of any of the information presented at CFANY is at your own risk.

There is a substantial amount of risk in trading securities, and the possibility exists that you can lose all, most or a portion of your capital. CFANY does not, cannot, and will not assess or guarantee the suitability or profitability of any particular investment, or the potential value of any investment or informational source. The securities mentioned in any CFANY presentation may not be suitable for investors depending on their specific investment objectives and financial condition.