Broker Dealer
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Developing new revenue sources and customer bases, while effectively managing cost and risk, require carefully crafted business strategies.
Our capital markets consultants partner with broker-dealers and investment banks to improve operational models that need to address competitive market dynamics, increased regulatory oversight, and changes in risk-taking activities.
Insights
Compliance Insights November / December 2019
An Urgent Call for KYC Optimization - A global market study calling for KYC innovation and collaboration
Compliance Insights - October 2019
Anti-Money Laundering: Getting to Efficient
Wealth and Asset Management 2022
The Path to Digital Leadership
A global thought leadership project produced in conjunction with: Appway, Broadridge, Cisco, eToro, J.P. Morgan Asset Management, Oracle, Protiviti, Sapient Consulting, and Vauban Group.
Cybersecurity Regulatory Issues in the Insurance Industry
Protiviti Managing Directors Adam Hamm, John Rao and Scott Laliberte share their expert opinion on the latest regulatory and cyber-related challenges facing insurers today.
The Protiviti Risk Index
Agile Risk Management
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