Risk Management Framework
OCC maintains a Risk Management Framework, which provides a foundation to support and describe the risk management policies, procedures and systems that make up OCC’s risk management. OCC utilizes the three lines of defense model, which is outlined within the Risk Management Framework to manage risk at OCC. The Risk Management Framework also governs OCC's Recovery and Orderly Wind-Down ("RWD") Plan, which ensures continued performance of core clearing and settlement services in the event of extreme financial, operational, or general business stress.
The Risk Management Framework is supported by other frameworks and policies to outline how OCC operates as it relates to the identification, monitoring and management of risks across the enterprise, including, but not limited to, OCC’s Corporate Risk Management Policy and Third-Party Risk Management Framework.
Risk Management Framework
OCC RWD Plan Participant Guide
Corporate Risk Management Policy
Third-Party Risk Management Framework
The Risk Management Framework is supported by other frameworks and policies to outline how OCC operates as it relates to the identification, monitoring and management of risks across the enterprise, including, but not limited to, OCC’s Corporate Risk Management Policy and Third-Party Risk Management Framework.
Risk Management Framework
OCC RWD Plan Participant Guide
Corporate Risk Management Policy
Third-Party Risk Management Framework