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Risk Flags: A Broker's Guide to Client Risk Detection, Scoring, and Mitigation
How do brokers identify a risky client before it becomes a liability?
Risk Flags is a practical guide for financial professionals seeking to strengthen their client risk management frameworks. Clear and structured, the book unpacks the methodologies broker-dealers use to detect, score, and mitigate client-related risks across onboarding, transactions, and ongoing monitoring. From risk matrices and scoring models to real-time surveillance tools and regulatory alignment, it provides a detailed roadmap for building effective, compliant systems that minimize exposure and ensure operational integrity.
Without hype or abstraction, Risk Flags delivers an actionable foundation for navigating the realities of client risk in today’s highly regulated financial environment.
Risk Flags is a practical guide for financial professionals seeking to strengthen their client risk management frameworks. Clear and structured, the book unpacks the methodologies broker-dealers use to detect, score, and mitigate client-related risks across onboarding, transactions, and ongoing monitoring. From risk matrices and scoring models to real-time surveillance tools and regulatory alignment, it provides a detailed roadmap for building effective, compliant systems that minimize exposure and ensure operational integrity.
Without hype or abstraction, Risk Flags delivers an actionable foundation for navigating the realities of client risk in today’s highly regulated financial environment.
212 pages, Paperback
Published May 2, 2025
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