Set compliance policy and standards – Build detailed risk profiles to include capital and credit limits, order level position level checks and enforce regulatory standards to show compliance with key regulatory requirements.
Enforce overall and individualized risk profile settings.Set limits dynamically by strategy, firm, or globally across all accounts. Risk checks can be set to fit a range of trading strategies and equity usage policies. Set limits based on absolute dollar values or percentage of equity available.
Our unique profile hierarchy organizes client structure, provides multiple levels of control and transparency throughout customer organization.
Exceed performance expectations – Fast and efficient technology strives to provide maximum feature rich environment within low latency constraints. Our team constantly focuses on optimizing efficiencies of newest hardware and software to deliver next generation speed and performance.
Knowing is half the battle, give compliance and risk teams the ability to create a firm-wide holistic aggregate view across all trading platforms local and remote. Achieve the required supervisory transparency by consolidating all order flow into one easy to use platform.
Monitor firm-wide including aggregate limits, profit and loss, credit margin exposure, within our automated system. End to end automation provides sophisticated alert notification and a variety of standard and custom follow-up action options. Take control of multiple systems from one location. Standardize, enrich and enhance your multi-platform environment.
Analyze and view trading activity across a broad spectrum of parameters. Session level statistics provide a fresh look at trading activity, quality of service from market centers and various execution venues. Monitor real-time operational aspects of order flow performance. Chart message rate statistics and track overall operation and performance.
Validate order parameters, messaging and message rate standards. Control message rates to every exchange and execution venue, prevent message storms and protect against out of control algorithms.
Transparency is the cornerstone of compliance. Empower your compliance team with adequate tools for proper supervision. Our advanced surveillance module delivers a holistic view over your trade flow. Isolate run-time issues and track longer term patterns and tendencies. Build custom algorithmic scans with multi-tiered alerts to address business specific concerns.
Overcome silo barriers and build a stronger culture of compliance through automated and adaptive next generation technology. Establish better procedures and make informed decisions with more insightful and details data.
Effect run-time interaction between surveillance events and pre-trade parameters. Build a chain of automated response across connected third-party systems.
TripleCHECK Market Abuse Sentinel
Runaway algorithms and deliberate market manipulation have impacted market performance. Regulators continue to pursue this topic as a top enforcement priority. Sentinel provides a fluid approach to building effective protection from this ever changing problem. Our proprietary state-of-the-art adaptive detection algorithms isolate real-time issues and aberrations within the order flow. These include: spoofing, layering, wash trades, marking the close, cross trades, and auction manipulation.
TripleCHECK Post-Trade Reporting
Comprehensive post trade review provides contextual details to supplement real-time surveillance and fulfill reporting and supervisory obligations. Our tool provides a full range of standard reports as well as the ability to customize various parameters to address specific need or concerns. Full function interface provides a user friendly way to view exceptions and follow up on issues.
Detail and preserve critical data and document exception records. Build a history of operational patterns and potential compliance violations. Protect you firm’s reputation and satisfy your regulator with a better knowledge base.