Financial institutions are under regulatory pressure to implement automated hard and soft blocks for trader mandates and booking model controls. Existing systems may not comprehensively cover internal policies whilst manual processes and a reliance on detective controls are no longer sufficient to meet regulatory scrutiny.
Droit’s Trading Controls enables banks to systematically ensure compliance for activities of their traders across their legal entity construct and at all levels of granularity.
Customized to reflect your institutional requirements and internal policies, completely modeling trader mandates, booking controls, credit utilization, restricted lists, and more.
Optimized for regulatory compliance, covering both preventative and detective controls in a single decision process.
Maintains a balance of control and efficiency with adaptable combination logic and thresholds for hard and soft blocks.
Centralized rules maintained by experts for simple updates and transparent impact, enabling continuous improvements.
Integrates and works alongside existing controls and platforms.
Provides complete transparency into every trading decision, linking each control outcome directly back to the specific digitized rules and policies for irrefutable audit trails.