Eventus

Risk controls for compliance and financial checks

Visibility with real-time or T+1 review

Combat ever-evolving risk

The Validus Risk Control solution helps ensure compliance with written supervisory procedures and financial limits by checking that your pre-trade risk systems are working properly. It combines alerting, investigation, and remediation into one platform.

Provides a consolidated view of the financial risk controls in all pre-trade and trading systems (OMS, EMS, etc.).

Generates alerts in real-time versus having to wait T+1 to see if pre-trade risks controls are working properly.

Enables you to add an additional set of risk limits beyond what is in your pre-trade systems.

Reporting tailored to specific client groups, trader IDs, venues, symbols, asset classes, and accounts.

Part of a unified Validus platform with Trade Surveillance and Algo Monitoring for efficient operations and lower total cost of ownership (TCO).

Financial limits

Detect orders or trades that hit Front Office limits, such as for position concentration, duplicate orders, or large action.

Market access controls

Per SEC 15c3-5, conduct periodic testing of market access controls and post-trade and supervisory reviews.

Supervisory procedures

Procedures validate your firm is operating within set limits with order-based, execution-based, and financial controls.

FINRA sssues annual guidance regarding compliance programs

On February 9, 2022, FINRA published the eagerly awaited 2022 Report on FINRA’s Examination … Read more

Market access control failures

A US broker-dealer (the “Firm”) recently paid a fine of $75,000 and agreed to an undertaking … Read more

Explore the Validus product sheet

“For RJO, Eventus solved two supervisory needs with one solution. Validus not only meets our market surveillance requirements but also enhances our ability to monitor real-time order messages in support of automated trading.”

Brad Giemza, Chief Risk Officer, RJO

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