REGULATORY CAPITAL & REPORTING
Precision. Transparency. Confidence in Every Filing. Need to ensure full compliance with SEC Rule 15c3‑1 or CIRO financial and capital adequacy requirements—while eliminating manual effort and reducing reporting risk? Softek delivers automated, regulator‑aligned capital computation and reporting tools for broker‑dealers and trading institutions across the U.S. and Canada.
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 15c3‑1 and CIRO Rules.
Purpose‑built for broker‑dealers, prime brokers, prop trading firms, hedge funds, stock loan desks, and financing businesses,
our system centralizes books and records data, financing activity, margin exposures, and operational adjustments to produce accurate, regulator‑compliant capital schedules—every time. Our engine continuously calculates capital charges, haircuts, undue concentration deductions, margin deficits, and reserve requirements. With real‑time dashboards and automated reporting workflows, finance and compliance teams can efficiently meet daily, monthly, and event‑driven obligations while reducing operational 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:
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Automated SEC Rule 15c3‑1 Net Capital calculations
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CIRO (Canada) Risk Adjusted Capital (RAC) and Early Warning Tests
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Haircut schedules across equities, options, bonds, derivatives, and structured products
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Undue concentration monitoring and automated deductions
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Integration with customer reserve computations (15c3‑3)
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Reconciliation with general ledger, clearing firms, custodians & financing systems
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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
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Automated SEC 15c3‑1 Net Capital computation engine
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CIRO Risk Adjusted Capital (RAC), Early Warning, and Liquidity Tests
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Real‑time consolidation of GL, settlement, margin, and financing data
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Haircuts, concentration charges & proprietary capital deductions
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Integration with 15c3‑3 reserve computations and financing workflows
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Exception‑based workflows for breaks, mismatches & data inconsistencies
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FOCUS Report generation with automated schedule population
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CIRO Form 1 preparation and supporting documentation packages
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Scenario analysis to model trades, financing changes & market shocks
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Comprehensive audit trails and supervisory change controls
BENEFITS
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Ensures accurate, regulator‑aligned capital computations across U.S. and Canada
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Reduces manual workload and shortens the month‑end and daily close cycle
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Minimizes risk of filing errors, exceptions, and regulatory findings
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Provides early‑warning visibility into net capital and RAC constraints
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Enhances coordination between finance, compliance, treasury & operations
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Accelerates response to regulators, auditors & clearing partners
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Supports growth across products, entities, and regulatory jurisdictions
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Provides a scalable, centralized environment for all capital monitoring
