Regulatory requirements on financial organizations are high and increasing. Many different stakeholders push various aspects of compliance: legislators and exchanges require regulatory compliance; organizations require global in-house compliance and risk departments monitor risk management compliance.
New and expanding requirements driven by initiatives such as ESMA, MiFID II and MAD II place new requirements on the trading technology, including high levels of control, transparency and traceability.
Tbricks has integrated support for a wide range of key features to help ensure compliance, including auditing, role-based access control, static and dynamic pre-trade risk limits, parameter contexts, hierarchical throughput limits, centralized authentication and real-time risk management. We work closely with our clients' compliance teams, as well as regulatory bodies and exchanges, to ensure that we continuously adapt to the ever-changing requirements. The following are just a few examples of how we help ensure regulatory compliance.
The Times They Are a-Changin'