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Sterling Aggregator Risk & Compliance

Sterling Trading Tech is an industry leader for direct market access platforms and risk technology

Sterling Aggregator Risk & Compliance is a single tool for trading groups, broker-dealers and clearing firms to manage risk and compliance across multiple trading platforms.

PRE-TRADE COMPLIANCE

Sterling Aggregator Risk & Compliance allows clients to view all orders, manage trading risk and enforce all 15c3 compliance controls in real-time and can be integrated with any third party platform or FIX API. 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 and FIX APIs to provide a single checkpoint for pre-trade risk and compliance monitoring for U.S. equities, options 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
  • Supports and integrates with new third party trading platforms and FIX API solutions by request

REAL-TIME RISK

Sterling Aggregator Risk & Compliance allows clients to set account limits and manage trading parameters.

ROUTING & EXECUTION

Sterling Aggregator Risk & Compliance provides a wide range of FIX connectivity solutions for clients looking to take advantage of our trading network for order routing.

Apex
ARCA
BATS
BNP
BofAML
Cannacord
Clearpool
CODA
Credit Suisse
Cuttone
DASH
Direct Edge (EDGA/EDGX)
Instinet Equities
Instinet Options (Complex/Single)
ITG
JP Morgan
KCG
LEK
Level
Liquid Point
Lynx Capital Markets
NSDQ
SpeedRoute

TRADE REPORTING

Sterling Aggregator Risk & Compliance can accept start-of-day Easy-To-Borrow (ETB), Buying Power and Positions files and offers a full suite of end-of-day files including clearing files and OATS reporting.

DROP COPIES

STT can send or receive drop copy execution messages to third party systems.

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