News

Imagine’s Pre- and Post-trade Compliance Solution

Imagine empowers users to make informed, risk-compliant decisions in the ever-changing regulatory environment with its robust Pre- and Post-trade Compliance Solution.

With Imagine’s development of a dedicated limit monitoring dashboard, users can monitor limit utilization levels of pre-defined rules across multiple portfolios from a single dashboard view. This provides useful insight into the positions which are breaching, or almost breaching, limit rules defined by the user.
LimitsScreenshot
The dashboard also allows clients to upload test trades to an existing set of positions to see if this would create any limit breaches.

Drawing on Imagine’s expertise we have developed a Pre-Trade Compliance module fully integrated with an Execution Management System (EMS) used by many of our users.

The pre-trade compliance workflow is:

  • Imagine’s Consulting Team helps clients create and implement rules to be used in compliance checks
  • EMS sends Imagine a pre-trade order message to Imagine’s powerful REST platform
  • An Imagine App performs the necessary compliance calculations and checks limit breaches against the client-specified rules
  • Imagine returns a REST message to the EMS which displays the outcome for the pre-trade orders. If a trade will cause a breach, the returned status is Rejected, otherwise, its status is OK
  • Trades designated as OK go out to market for execution; rejected trades go into a pending authorization queue along with the reason for rejection

The Pre- and Post-trade Compliance Solution is enabling clients to generate orders in an EMS, while still managing their compliance calculations, using Imagine’s rich universe of data and analytics. The end result being: more informed and compliant investment decision-making by Imagine users when meeting both investor and internal requirements.

Contact us to find out more about our cutting edge Pre- and Post-trade Compliance Solution.


Bill Daher
Bill Daher
About the Author

Bill Daher has been with Imagine for six years and is currently a team leader in Consulting for Imagine’s APAC region. Bill has been heavily involved in the architecture of quantitative solutions in Imagine. He holds a Masters of Actuarial Studies from Macquarie University in Sydney, Australia.

Bill can be contacted by email or phone: + 61 2 9350 8832

Related News

Whats on Prime Brokers Minds When it Comes to Risk?

What’s on Prime Brokers’ Minds When It Comes to Risk?

Managing the risks inherent in their positions, including holding sufficient margin, is absolutely essential for prime brokers. The key question is whether or not they are measuring risks and managing margin effectively and proactively.

September 20, 2021
Prime Brokerage Margin, Collateral and Data Research Summary

Research Summary: Prime Brokerage, Margin, Collateral and Data

This summary is based on research conducted between February and March 2021 with 20 banks looking at current trends and priorities for Prime Brokers in the Margin, Collateral and Data areas.

September 15, 2021

Zeal Asset Management selects TS Imagine for real-time portfolio and risk management for quantitative investment strategy

TS Imagine, a leader in trading, portfolio and risk management solutions for capital markets, has been selected by Zeal Asset Management, as the platform to run their quantitative investment strategy.

September 6, 2021

Latest Tweet