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Pre-Trade Compliance & Risk


Sterling compliance technology creates a single tool for Trading Groups, Broker Dealers and Clearing Firms to manage risk and compliance across multiple trading platforms. Sterling Aggregator allows clients to view all orders, manage trading risk and enforce 15c-3 compliance controls in real time using the Sterling Risk Manager user interface.

Orders that would violate risk or compliance checks are rejected while those that pass are routed to the appropriate execution venue.

  • Accepts orders via third party trading platforms to provide a single checkpoint for pre-trade risk and compliance monitoring for U.S. and Canadian listed securities
  • Performs risk checks, such as aggregate buying power and individual order controls for size, price, and notional amount
  • Applies compliance controls, such as aggregate position marking, wash trade prevention, and threshold controls
  • Rejects orders that would violate pre-trade risk or compliance checks and sends them back to the original trading platform
  • Supports and integrates with third party trading platforms and FIX API solutions by request