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Trading and Brokerage Risk Assessment
Create a professional, comprehensive risk assessment for trading and brokerage in financial services settings. Tailor hazards and measures to your needs and download a professional PDF. Add your own branding.
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What this covers
This template focuses on typical risks and controls for trading and brokerage in financial services settings. You can add, remove or adapt items to match your context.
Potential benefits
Enhances portfolio performance through expert execution.
Improves transparency with detailed transaction reporting.
Reduces risks with timely and informed trading strategies.
Encourages efficient use of capital through margin and leverage options.
Facilitates access to diverse financial markets and instruments.
Typical hazards & measures
System failures
— Establish redundant systems and failover mechanisms, conduct regular maintenance and stress testing, and develop comprehensive incident response plans to ensure business continuity and minimize downtime during technical disruptions.
Inadequate disaster recovery
— Develop and regularly update comprehensive disaster recovery plans, conduct routine drills, ensure data backups are secure and accessible, and establish clear roles and responsibilities to swiftly recover from catastrophic events.
Model risks
— Validate and stress-test all financial models, ensure regular updates based on market conditions, involve independent reviews, and maintain comprehensive documentation to minimize inaccuracies and biases in model outputs.
Cyber attacks
— Implement robust cybersecurity protocols including multi-factor authentication, regular security audits, employee training on phishing prevention, and real-time intrusion detection systems to safeguard sensitive financial data and maintain system integrity.
Poor customer service
— Invest in comprehensive training for customer service teams, implement customer relationship management (CRM) systems, gather and act on client feedback, and establish clear service standards to enhance client satisfaction.
How to use this template
Click Create Risk Assessment: Trading and Brokerage to begin immediately.
Review suggested hazards and measures, then tailor as needed.
Download your PDF. Create a free account if you want to save.
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