Sterling Aggregator - Sterling Trading Tech

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.

Hours of operation: 4am EST to 8pm EST US
Position and order management (both aggregate unit level and individual account level)
Buying power or margin control (both aggregate unit level and individual account level controls)
Max Loss control (both aggregate unit level and individual account level controls)
Per-order controls for quantity, notional amount, and threshold (both aggregate unit level and individual account level controls)
Symbol blocking controls
Ability to restrict symbols based on minimum and maximum price (both aggregate unit level and individual account level controls)
Duplicate Order Checks
Ability to handle equities and options including multi leg margin and buying power calculations accurately
Layering, Spoofing and ADV (Average Daily Volume) Filters

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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Sterling Aggregator Risk & Compliance

PRE-TRADE COMPLIANCE

REAL-TIME RISK

ROUTING & EXECUTION

TRADE REPORTING

DROP COPIES

STERLING TRADING TECH USES COOKIES