Compliance & Risk2017-12-05T21:53:14+00:00

Compliance & Risk

The SpiderRock Platform is a multi-layered supervisory risk and compliance system that provides a robust framework for traders, client risk managers, market access risk managers, and clearing firm risk managers to continuously assess and control order risk and exposure limits.

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order arrival Checks

Parent orders are checked against order arrival limits set by client supervisory risk managers, arrival limits set by SpiderRock market access risk managers, and (in some cases), by arrival limits established by client.

If orders fail any level of check they are rejected immediately. If orders survive initial risk checks they become active and are continuously assessed against account, user, trading symbol, and basket risk controls where applicable for the remaining life of the parent order.

Continuous risk checks

SpiderRock execution engines maintain risk counters that aggregate long and short risk metrics from executions as well as open orders. These risk counters, along with applicable risk controls, determine a maximum available risk size for each individual parent order and ensure that child orders are not generated or allowed to remain in the market in excess of these maximum risk sizes.

Parent orders with no remaining risk size are in a risk-hold state and do not generate child orders of any size.

We engineer solutions that enable our clients to scale their strategies while controlling risk

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