Risk Profile Questionnaire Template

RISK PROFILE QUESTIONNAIRE TEMPLATE AND SERVICE AGREEMENT

This Risk Profile Questionnaire Template and Service Agreement (the Agreement) is entered into by the parties identified below. Client Name: Service Provider Name: Effective Date:

RECITALS

WHEREAS, Client seeks a formal assessment of its enterprise risk exposures and desires to document a risk profile to inform strategic decision-making and compliance activities; and

WHEREAS, Service Provider represents that it possesses relevant qualifications, methodologies, and personnel to perform risk assessment services and to deliver a Risk Profile Questionnaire and associated report in accordance with the terms of this Agreement; and

WHEREAS, the parties wish to set forth their respective rights and obligations regarding the scope of work, fees, confidentiality, governance and other terms as set forth below.

SCOPE OF WORK

RISK PROFILE QUESTIONNAIRE

Complete the following questionnaire to the best of your knowledge. Material omissions or inaccuracies may affect the reliability of the risk profile and related recommendations.

A. Company Information

B. Risk Appetite and Profile

Select the Client's overall risk appetite (check all that apply):

Rate the following risk categories on a scale of 1 (Low) to 5 (High):

Strategic Risk (alignment with business strategy):

Operational Risk (processes, systems, people):

Financial Risk (liquidity, credit, market):

Compliance & Regulatory Risk:

PAYMENT TERMS

Service Fee Amount:

Invoice Due Within (days):    Late Fee:

TERM AND TERMINATION

Term Start Date:    Term End Date:

Either party may terminate this Agreement, without cause, upon written notice to the other party at least days prior to the intended termination date. Termination for material breach will be immediate if the breaching party fails to cure within 30 days after written notice of breach.

CONFIDENTIALITY

For purposes of this Agreement, "Confidential Information" means all non-public information disclosed by one party to the other in any form (including the completed questionnaire and any resulting reports), whether marked confidential or not. The receiving party shall: (a) use Confidential Information solely for performance of its obligations under this Agreement; (b) restrict disclosure to employees or subcontractors who have a need to know and who are bound by confidentiality obligations no less protective than those herein; and (c) exercise at least the same degree of care to protect Confidential Information as it uses to protect its own confidential information, but in no event less than reasonable care. Confidential Information does not include information that: (i) is or becomes publicly available through no fault of the receiving party; (ii) was rightfully in the receiving party's possession prior to disclosure; (iii) is independently developed by the receiving party without use of the disclosing party's Confidential Information; or (iv) is rightfully received from a third party without restriction. Compelled disclosure by law or regulation shall be permitted only after the receiving party provides prompt written notice to the disclosing party and cooperates in any reasonable protective measures. The obligations in this Section survive for three (3) years after termination or expiration of this Agreement.

GOVERNING LAW

This Agreement shall be governed by and construed in accordance with the laws of the State of without regard to its conflicts of law provisions.

ENTIRE AGREEMENT

This Agreement, including all appendices and the completed Risk Profile Questionnaire where applicable, constitutes the entire agreement between the parties with respect to the subject matter hereof and supersedes all prior and contemporaneous agreements, proposals and communications, whether written or oral. Any amendment or modification to this Agreement must be made in writing and signed by authorized representatives of both parties.

ACKNOWLEDGMENTS

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