Risk Management Advisory
Risk management can be considered one of the key components for the smooth operation of a company. Investment Firms, Funds, and Crypto-Asset Services Providers (CASP) may face a wide range of risks that may negatively impact their corporate and financial development. Thus, such entities need to establish, implement, and maintain adequate risk management policies and procedures which identify the risks relating to their activities, processes and systems and, where appropriate, set the level of risk tolerated by them.
At SALVUS, we carry extensive experience in managing risk for a range of regulated entities. After all, beyond having clients every business is obliged to secure profitability, the absolute criterion. This is inseparably linked with a robust, reliable risk management function.
We support our clients in
- building and training internal risk management teams,
- designing sound policies and
- exercising the necessary procedures.
We help through a thorough risk assessment which identifies the risks and weaknesses related to the Investment Firm’s, Fund’s, or CASP’s activities, processes and systems.
We have designed and supervised the implementation of third-party Risk Management systems for real-time monitoring of retail and institutional trading books, tailored to the firm’s specifications.
Additionally, we
- prepare all the Prudential Supervision Forms including Form 165-01, Form 165-02, Form 165-03, and Form 165-04,
- prepare the Annual Risk Management Report,
- prepare the Annual Disclosure & Market Discipline (Pillar III) report,
- prepare the Internal Capital Adequacy Risk Assessment Process (ICARA),
- prepare the Bank Recovery and Resolution Directive (BRRD) forms, in XBRL format using the EBA taxonomy,
- prepare or review policies and procedures for identifying, measuring, managing, monitoring, and mitigating risks,
- ensure our clients take all required measures in regards to Best Execution and prepare the internal team ahead of an inspection from the regulator,
- assess the impact of any new regulatory changes introduced within the EU law on the company’s risk profile,
- exercise relevant stress tests based on tailor-made methodologies and modelled to the specific firm.
We have built well-performing risk management teams within well-known Investment Firms, which we support and expedite their learning curve through in-house training, in all relevant areas of Dealing Room and Risk Management.
Our experienced risk managers look forward to meeting your team. Please contact us at info@salvusfunds.com to discuss more.
Should you be interested to read about Risk Management topics, please visit the selected articles below:
- AIFMs & their Risk Management Framework
- AIFMs, UCITs & Liquidity Stress Testing (LST)
- Complying with the Capital Adequacy Requirements
- Introduction to the New Capital Requirements CRRII
- Design & implement an effective & sound ICAAP
- The Best Execution Responsibilities of Investment Firms
- Are you complying with Best Execution obligations?
- Are you Ready for a Best Execution Inspection?
- Complying with the MiFID II Reporting Obligations of RTS 27 & RTS 28
