Risk Control « Global Equities
Risk Control
Hervé CatteauHervé Catteau Compliance manager
hcatteau@global-equities.com

 

The Risk Control Department has two main missions :

 

  • Conformity and compliance risk
    (AMF rules, Mifid, KYC, Clients and Brokers Agreements…)

 

  • Operational and intermediary financing risk
    (Daily calculation of client investing, reporting pending trades, checking margin calls and cash transfer to the GCM…)

 

A dedicated and independent team is in charge of these controls under the supervision of the Control Committee which holds every month. The constant control allows an overall visibility of potential risks for Global Equities and helps the development of its activities in safety.