170. Through the assessment of inherent Risk-to-Client, competent authorities should determine the …

Through the assessment of inherent Risk-to-Client, competent authorities should determine the main drivers of the investment firm’s Risk-to-Client K-factor amounts and evaluate the significance of the prudential impact of this risk for the investment firm. The assessment of inherent Risk-to-Client should therefore be structured around the following main steps:

• a. preliminary assessment;
• b. assessment of the nature and scale of services and activities for managing client assets, holding client money, safeguarding client assets and handling client orders; and
• c. assessment of the systems and processes regarding these activities.

1. Pārskats

1.1 Atsauces

1.2 Identificētās prasības

1.3 Saistītie standarti

2. Identificētās prasības

3. Saistītie standarti

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