风险管理与合规【精品-ppt】课件.pptVIP

* Presenters in Non EEA countries can still cover the remaining slide but making the notification that the contents do not apply by law. * * 1. Clients can be classified as: - retail, professional or even eligible counterparties Whereby the level of protection requirements depend on the understanding by the client of the: - relationship between risk and reward and - knowledge of financial instruments available in the market As the level of understanding increases, the level of protection reduces. 2. Classification for existing clients is being managed centrallyProcedures for classifying n