Finalyse - Composing Solutions for Finance

Risk Management Framework for Brokerage Houses

Finalyse - Composing solutions for Finance

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


If you are interested in these services, do not hesitate to contact Silvio Santarossa for more information.