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REGULATORY CAPITAL & REPORTING

Softek delivers comprehensive, automated regulatory capital and financial reporting solutions for Dealer Members and broker‑dealers operating under both CIRO and SEC regulatory regimes. Our platform is designed to eliminate manual effort, minimize capital requirements, reduce reporting risk, and ensure every filing aligns precisely with regulatory expectations.

POWERING CAPITAL COMPLIANCE FOR BROKER‑DEALERS & TRADING FIRMS

Softek’s Regulatory Capital platform provides a complete, automated environment for managing net capital, margin deficits, client reserve requirements, and early warning indicators under both SEC Rule 15c3‑1 and CIRO financial and capital adequacy rules.

Purpose‑built for broker‑dealers, prime brokers, proprietary trading firms, hedge funds, stock loan desks, and financing businesses, the platform centralizes:

  • Books and records data

  • Financing and stock loan activity

  • Margin exposures and concentrations

  • Operational and regulatory adjustments

This unified data foundation feeds a high‑performance rules engine that produces accurate, regulator‑compliant capital schedules—every time.

Our system continuously calculates:

  • Capital charges and haircuts

  • Undue concentration deductions

  • Margin deficits and liquidity impacts

  • Customer reserve and safekeeping requirements

With real‑time dashboards, automated alerts, and streamlined reporting workflows, finance and compliance teams can efficiently meet daily, monthly, and event‑driven regulatory obligations while significantly reducing operational and reporting risk.

CONTROL AND CONFIGURE

Designed with supervisory procedures and regulatory frameworks at its core, Softek gives your finance and compliance teams full control over how capital rules are applied across accounts, products, and operational workflows.

Key capabilities include:

  • Automated SEC Rule 15c3‑1 Net Capital calculations

  • CIRO (Canada) Risk Adjusted Capital (RAC) and Early Warning Tests

  • Haircut schedules across equities, options, bonds, derivatives, and structured products

  • Undue concentration monitoring and automated deductions

  • Integration with customer reserve computations (15c3‑3)

  • Reconciliation with general ledger, clearing firms, custodians & financing systems

  • Automated filing production for FOCUS reports, CIRO Form 1, and internal capital packages

Softek allows your firm to configure adjustments, add firm‑specific capital charges, define proprietary rule interpretations, and centralize audit trails—ensuring every filing matches your supervisory procedures and regulatory expectations.

ACCURATE. AUTOMATED. AUDIT-READY.

The result is a transparent, consistent, and fully automated capital compliance environment.
Your firm benefits from reduced filing risk, faster close cycles, better early‑warning oversight, and complete confidence in every submission.

KEY FEATURES 

  • Automated 15c3‑1 Net Capital computation engine

  • CIRO Risk Adjusted Capital (RAC), Early Warning, and Liquidity Tests

  • Optimized haircuts, concentration charges & proprietary capital deductions

  • Integration with 15c3‑3 reserve computations and financing workflows

  • Exception‑based workflows for breaks, mismatches & data inconsistencies

  • CIRO Form 1, including elements or the totality of schedule 2, 4, 7, & 9 reporting

  • Scenario analysis to model trades, financing changes & market shocks

  • Comprehensive audit trails and supervisory change controls

BENEFITS

  • Reduces capital requirements

  • Ensures consistent, regulator‑aligned filings

  • Reduces the risk of errors, omissions, and inconsistencies

  • Produces audit‑ready outputs that align with documented supervisory procedures

  • Eliminates manual capital and reserve calculations

  • Accelerates close and reporting cycles

  • Frees finance and compliance teams to focus on oversight rather than production

  • Optimizes the use of eligible collateral under CIRO safekeeping rules

  • Supports a wide range of business models and asset classes

  • Updates to regulations covered by Softek eliminating unexpected additional costs

  • Scales with firm growth, complexity, and cross‑border operations

Ready to transform your operations? Let's talk about how Softek solutions can deliver the results your firm needs.

Option Risk Monitoring 

Explore how our cutting-edge solutions enabled a client to capture real-time risk exposures effectively. Our case study highlights the innovative approach used to identify high-risk accounts and manage challenges from complex option strategies.

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