JHS Associates

Case Study - Broking

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Year

2014

Sector

Broking Company

Region

Mumbai

Team Size

2

Scope

  • Risk review of Cash, commodity and currency segments
  • Risk management systems review as per management laid processes and exchange requirements

    • Approach

    Study of Risk Management Systems (RMS), manuals and processes with live trading sessions

    Delivery

  • Comments on robustness of risk management processes
  • Handling of unauthorized trading
  • Flagging of deviations from management approved RMS
  • Benchmarking of industry wide good practices

    •

    Value Added

  • Identified RMS SOP requirement
  • Automation requirement was emphasized
  • Business Intelligence & Stress testing was recommended
  • Disaster Recovery site was proposed

    • Solution

    Risk Management Review
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