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AML/CFT COMPLIANCE MANUALAMILLEX GLOBAL AN INVESTMENT DEALER (FULLSERVICE DEALER EXCLUDING UNDERWRITING) LICENCE GLOBAL BUSINESS COMPANY LICENSED BY THE FSCTABLE OF CONTENTS FOREWORD ..................................................................................................................................
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How to fill out risk alert broker-dealers must

01
Identify the key risk factors relevant to your broker-dealer operations.
02
Gather historical data on trades, customer accounts, and market conditions.
03
Assess the risk exposure by analyzing the collected data.
04
Develop a risk assessment report highlighting potential risks.
05
Create an action plan to mitigate identified risks, detailing strategies and measures.
06
Establish ongoing monitoring procedures to review the effectiveness of the risk management plan.
07
Ensure compliance with regulatory requirements by preparing necessary documentation.

Who needs risk alert broker-dealers must?

01
Broker-dealers who engage in securities transactions.
02
Regulatory bodies seeking to monitor broker-dealer activities.
03
Institutional investors wanting to understand their broker-dealers' risk management.
04
Compliance officers within financial institutions responsible for risk oversight.
05
Risk management professionals in the finance sector.
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Risk alert broker-dealers must refers to notifications that broker-dealers are required to issue to inform regulators and clients about potential risks and adherence to regulatory compliance.
All registered broker-dealers are required to file risk alerts as part of their regulatory obligations to ensure compliance and transparency.
To fill out a risk alert, broker-dealers should use the prescribed forms and guidelines provided by regulatory bodies, ensuring all relevant information regarding risks and compliance is accurately reported.
The purpose of risk alerts is to inform regulatory authorities and clients about significant risks that may affect the firm's operations or client investments, promoting transparency and regulatory compliance.
Information that must be reported includes details about the specific risks identified, the implications of those risks, and the broker-dealer's actions to address or mitigate them.
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