Risk processes are critical in the brokerage business. In a challenging and demanding environment of constantly evolving regulatory requirements, new Brokerage Houses are faced with the threat of lack of risk-related procedures.
Finalyse has experience and a sound track record in preparing tailor-made solutions reflecting the size and scope of activity for any given brokerage house.
We have successfully created and implemented internal systems for risk management at various brokerage houses:
- BION preparation
- CRD IV/CRR compliance check
- Help in describing the process and defending the risk management system in front of the supervisor
- Implementation of tailor-made policies, procedures and processes that reflect the size and scope of a brokerage house
- Guarantee that the internal regulations can be effectively used in day-to-day business
We work in close cooperation with the risk team helping them to set up risk management framework inside the organization.
- Global view of risk management in the organization
- Regulatory Compliance support
- Better risk awareness and management
- Tailor-made risk management process reflecting scale of activity
- Pragmatic, tailor-made solutions
- Custom models / solution for less typical risk-related problems
- Support in mediation with supervisor and SREP/BION
- Knowledge transfer to risk management unit
- Audit of current risk-related procedures