Batch Risk Assessment

AdvisoryWorld's Batch Risk assessment automates the process of visualizing multiple risk factors across a financial service firm's entire book of business. Analyzing systematic portfolio construction risk is a critical component of compliance oversight. The importance of risk management has been underscored with the SEC’s approval of FINRA's new suitability rule 2111.


The streamlined process begins with a flat or xml file containing clients, accounts and holdings being sent to AdvisoryWorld. Upon receipt, AdvisoryWorld's calculates a series of metrics for consumption by backoffice and compliance systems and provides an app used to specifying risk objective parameters, monitor alerts and access reports.

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