Large Bank Case Study/ Discussion Starter
Large Bank Case Study/ Discussion Starter
Assumption: Large size banks have an automated Reg. 9 account review process
What impact to the Reg. 9 process is necessitated, if any, by the unprecedented market results of the last 18 to 24 months?
More frequent reviews? If not, how does the bank monitor account changes using another process or system?
What type of due diligence review process does your organization utilize over non-proprietary investment managers and how is it integrated into the Reg. 9 account review process?
Does your organization utilize any risked based measuring techniques at the account level in the Reg. 9 account review process?
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