Compliance & Compliance Controls

Compliance officers are faced with increased challenges regarding SEC and FINRA regulations as regulatory reporting requirements are more complex. Increased scrutiny and oversight is a necessity due to changes in trading patterns and advancements in technology. TRAFIX Compliance reporting suite offers a comprehensive set of reports that provides broker-dealers and investment advisors ability to comply with data driven regulations in a global trading environment.

  • Equity & Option Asset Classes
  • Full Electronic Life-Cycle Audit Trail
  • Clearing Firm Interfacing
  • Consolidated Audit Trail(CAT NMS) reporting
  • Regulatory OATS reporting
  • NASDAQ ACT Interface
  • Finra OTC Reporting Facility (ORF) Interface
  • SEC Rule 15c3-5 Compliant
  • Clearly Erroneous Control (Fat Finger)
  • Sound & Pop-Up Notifications
  • Pre-Trade Route Confirmations
  • Price Away from Parent Prevention
  • Order Marking
  • Round & Mixed Lot Restriction
  • Port Limits
  • Position Limits by Firm, Trader & Account
  • Wash Trade Prevention
  • Trade Timestamp Integrity (Atomic Clock)
  • REG-SHO
  • Easy-to-Borrow & Hard-to-Borrow Lists
  • Restricted Symbol List
  • ISO & REG NMS Compliant
  • On-Close Restrictions
  • Master Controls for Emergency Shutdown
  • Pre-trade Firm, Trader & Customer Risk Limits
  • Shares per Order
  • Dollar Amount per Order
  • Shares per Day
  • Dollar Amount per Day
  • Shares per Order for Symbol
  • Dollar Amount per Order for Symbol
  • Shares per Order for Symbol & Side
  • Dollar Amount per Order for Symbol & Side
  • Shares per Day for Symbol & Side
  • Dollar Amount per Day for Symbol & Side
  • Shares per Order for Account
  • Shares per Day for Account
  • Dollar Amount per Day for Account
  • Dollar Amount per Order for Account
  • Max live Orders/Account/Quantity/Loss for Account
  • Shares per Order for Destination
  • Shares per Day for Destination
  • Dollar Amount per Day for Destination
  • Dollar Amount per Order for Destination
  • Max Order per second for Destination
  • Total Buying Power
  • Price Away from Market Check
  • Audit Reports of all Risk Limit Activity

To learn more about our products or to request a demo, please contact (646) 779-3480 | sales@trafix.com

 

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