Broker Dealer
Body
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 October 2018
Compliance Insights - September 2018
Insights on Global Compliance Practices – Benchmarking Results from Protiviti's Global Financial Services Compliance Survey
Regulation at the Speed of Innovation: Developing an Adaptive Risk Strategy for Agile and DevOps Environments
The Protiviti Risk Index
A Single-Number Snapshot of Organizational Risk
Agile Risk Management
Re-Engineering Risk Solutions to Enable Business Strategies.
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.
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.
Ready to work with us?
