Operational risk issues in the broker-dealer sector

Intensive exposure

Marcelo Cruz

Continuing my series of articles on operational risk in different financial industries, this month I would like to discuss the operational risk profile and outlook at broker-dealers. This sector is one of the most interesting for operational risk practitioners. Although we obviously need to consider that individual risk profiles would vary significantly between institutions given their different business strategies, broker-dealers' risk profiles are usually dominated by operational risk, which

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