Securities Companies / Stockbrokers
Stockbrokers often deal with their clients without face to face contact. However, when undertaking the know your customer procedures for account opening, the account opening forms can accommodate the Risk Values questions in the form itself or in a financial profiling questionnaire See below for ideas on dealing at a distance.

Risks for stockbrokers go beyond those that affect other financial services businesses - a client may attempt to sell stocks that he does not own or cannot deliver. In many countries, selling short is either a criminal or regulatory offence - sometimes both - and the broker may become implicated in the conduct. Risk Values identifies those who display a propensity to abuse the relationship and this includes using the institution, in this case the broker, to commit an offence.