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Risk Policies, Procedures and Limits

Describes statutory requirements for risk policies, procedures and limits, as well as the governance structure of a bank, criteria to evaluate internal controls, reviewing risk assessment findings and communicating limits. Explains exceptions and practices for developing and maintaining risk policies, as well as the relationship between risk appetite and limits, and between limits and business objectives.

Duration: Approximately 40 minutes
Created: July 2018
Updated: July 2019

What You'll Learn

After successfully completing this course, you will be able to:

  • Describe the importance of risk policies, procedures, and limits within a bank's ERM process
  • Identify a typical bank's governance structure and the internal controls used to manage risk and achieve bank objectives
  • Describe leading practices for developing risk policies, procedures and limits
  • Describe leading practices for enforcing and maintaining risk policies, procedures and limits


Risk management and control professionals in the first, second or third line functions with primary responsibilities including risk assessment, risk testing, measurement and monitoring, risk reporting, audit, or governance across credit risk, financial and/or non-financial risk categories. Directors, members of senior management, State/Federal bank examiners, external risk consultants or auditors.

Course Credits

ABA Professional Certifications: 1.0 CERP

ABA Certificates: This course applies to the Certificate in Risk Management Frameworks.

Questions? Please contact ABA Training for more information.




Purchase for a Team
To license this course to your bank for multiple learners, please contact ABA Training.


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