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FINRA 15c3-1

Notice 15-33



Credit Risk


Stress Test

Capital Adequacy

Basil III

Regulatory Reporting




Capital Adequacy Services

Softek's Capital Adequacy Services (CAS) provides our growing client list which includes major Banking institutions, Prime Brokerage Clients, Broker Dealers and Proprietary Trading Firms, with a full suite of reporting, analytic and decision support tools in the capital adequacy and credit risk management arena.


Softek uses a proprietary Rules Engine, and associated financial industry meta-language, with our real-time FIX based messaging technology to deliver a software solution for both client margin and professional risk management.


Some of our features:

  • Stay current with all upcoming regulatory changes

  • Supports firm and client accounts across all enterprise business lines

  • Offers Real-time Capital Calculations

  • Supports industry technology standards (FIX 4.2 and XML)

  • Centralizes margin book management

  • Generates automated reports to assist you in analysis of capital adequacy, credit and compliance activities.

  • Reports may be produced in PDF format and users can select work files to export into CSV files for later in-house manipulation.

Implementation and Care

Softek is a leading provider of Capital and Credit Management Solutions to the Global Financial Markets. Our service is provided on a hosted, Software as a Service (SaaS) basis. Our focus is on providing a custom solution for your Capital and Credit needs backed up with an unrivalled level of support. Our high level of expertise and domain knowledge around trade, security and market data, operational processes, regulatory and risk practices is one of the key reasons clients rely on Softek.



Our solution for pre-trade risk management: CAS / Pre Trade Monitor.


As a result of the recent SEC ruling, (specifically 15c3-5), Softek is completing work to connect the post trade credit service to a real-time pre-trade hardware-accelerated solution for enforcing credit limits and blocking erroneous orders sent by high-frequency and program traders.

Sitting between the customer trading engine and the liquidity source (exchange), this Risk Lease concept is illustrated in the attached diagram and allows the complex margin lending policies developed by Softek to be used to check the available credit for the mid and high frequency trading clients in a low latency environment. It fully addresses the new DMA requirements outlined by 15c3-5.

Some highlights:
• Position keeping, including global monitoring of filtered positions in real time
• Pre-trade risk management, with limitations and alerts on traders and clients
• Order filtering, to prevent risky orders from reaching the markets 
• Optimal performance (high throughput, very low filtering latency)
• It supports multiple asset classes and all currencies.

The following are the specific Compliance/Risk Controls that are also addressed with the Softek Solution:

  • Clearly Erroneous Order Check (Limit Orders)

  • Clearly Erroneous Order Check (Market Orders)

  • ISO Order Handling


  • Order Marking

  • Max Order Size (Shares/Contracts)

  • Max Position (Shares/Contracts)

  • Max Order Notional (Dollar Amount)

  • Max Account Notional (Dollar Amount)

4 Million +

Trades are processed 

by Softek everyday

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