184. Competent authorities should focus on these sources of inherent risk, where relevant: a. …

Competent authorities should focus on these sources of inherent risk, where relevant:

• a. quantity and amount of client orders handled;
• b. nature of underlying assets (OTC, more or less liquid…);
• c. order types and characteristics (by blocks, fixed price…);
• d. transmission or execution characteristics (electronic trading or by voice…);
• e. transmission or execution processes and organisation (dedicated desks by asset class, sales-traders, trading on own account, market access…).

6.3.3 Assessment of Risk-to-Client management and controls

1. Overview

1.1 References

1.2 Identified Requirements

1.3 Related Standards

2. Identified Requirements

3. Related Standards

• EBA - Published by the European Banking Authority at https://www.eba.europa.eu/