2.0 KiB
2.0 KiB
| 1 | Risk_ID | Category | Risk | Likelihood | Impact | Priority | Preventive_Control | Detective_Control | Response | Owner | Gate | Status |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 2 | R-001 | Data | PIT lookahead | M | Critical | P0 | published_at/tradable_session contract | DQ-01/J26 | quarantine and replay | Data/Quant | G1 | OPEN |
| 3 | R-002 | Data | Survivorship/delisting omission | H | Critical | P0 | universe/delisting source | Golden/OOS audit | block promotion | Data Governance | G1/G4 | OPEN |
| 4 | R-003 | Data | Source license violation | M | Critical | P0 | L0 approval | J25 contract drift | disable source | Legal/Data | G1 | OPEN |
| 5 | R-004 | Algorithm | Overfitting/hidden trials | H | Critical | P0 | experiment registry | PBO/DSR/independent replay | reject candidate | Quant/Risk | G4 | OPEN |
| 6 | R-005 | Algorithm | False-exit definition gaming | M | High | P0 | versioned metric definition | metric drift audit | HOLD | Risk/QA | G4 | OPEN |
| 7 | R-006 | Execution | Duplicate decision/outbox | M | Critical | P0 | idempotency+transaction | chaos/reconciliation | kill switch/replay | BE/SRE | G3 | OPEN |
| 8 | R-007 | Scheduler | Unapproved schedule execution | M | Critical | P0 | default OFF+disabled seed | startup/config/J27 | remove recurring jobs | Security/Ops | G0/G3 | MITIGATED |
| 9 | R-008 | Security | OIDC/PII leakage | M | Critical | P0 | fail-closed/redaction | Auth E2E/secret scan | disable publication | Security | G5 | OPEN |
| 10 | R-009 | Operations | Queue saturation | M | High | P1 | queue/resource isolation | J29/SLO alerts | throttle research | SRE | G5 | OPEN |
| 11 | R-010 | DB | Append-only growth | H | High | P1 | retention/archive design | size/index trend | archive/partition | DBA | G5 | OPEN |
| 12 | R-011 | UX | Customer misinterpretation | M | High | P1 | uncertainty/counter-evidence UX | usability/complaint monitoring | revise disclosure | UX/Compliance | G3 | OPEN |
| 13 | R-012 | PM | WBS progress inflation | H | Medium | P1 | evidence-based Done | Gate burn-down | re-baseline | PMO | ALL | OPEN |
| 14 | R-013 | SupplyChain | Package vulnerability/license | M | High | P1 | lock/SBOM/allowlist | CI scan | block release | Security/DevOps | G5 | OPEN |
| 15 | R-014 | ModelOps | Automatic promotion misconception | M | Critical | P0 | boundary text/code | J27/audit/UI panel | HOLD and governance review | Risk/Compliance | ALL | MITIGATED |
| 16 | R-015 | DR | Backup/rollback failure | M | Critical | P0 | runbook/fallback manifest | quarterly drill | No-Go | SRE/DBA | G5 | OPEN |