Pink dots creating a wave effect. FundApps Position Limits platform comes with the hard-to-get data rules designed by our in-house regulatory experts.

Position Limits

Automated position limits monitoring

Position limits are imposed across swaps, futures and options and asset classes including fixed income, commodities, currencies and equities. Compliance requires a large, hard-to-source, diverse dataset with contract limits, calendar data and calculation methodologies constantly being changed by both regulators and exchanges.

Recent reviews include the CFTC’s Final Rule, The Mifid II Quick Fix, the LME’s review of accountability, ESMA’s push for carbon derivatives limits and the SFC’s review.

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How FundApps Position Limits works

The Position Limits solution monitors derivatives limits imposed by exchanges and regulators across the globe. Position data is simply and securely uploaded into our SaaS platform. Aggregation is applied at group or lower level, clients get real-time insight into positions versus applicable limits, and early warnings when caution should be exercised. Any changes by exchanges and regulators are automatically captured and our teams of in-house regulatory experts code it into rules.

Position Limits (1)

 

Key features

 

FundApps Position Limits automatically captures any changes by exchange and regulators. Number 1 in front of a wavelength created by blue dots.

Access to clean, updated data

Automated data sourcing from the FIA Tech’s Databank, trading calendar data, direct exchange data and more to ensure access to up-to-date and accurate data.

FundApps in-house regulatory experts interpret complex limit definitions and translate them. Number 2 in front of a wavelength created by blue dots.

Automated calculations

Our in-house regulatory experts interpret complex limit definitions, define the calculations and translate them into the rules that power our proven rules engine.

Reduce risk, avoid fines and inform strategy with FundApps Position Limits. Number 3 in front of a wavelength created by blue dots.

Pre-trade & Intra-day Monitoring

Pivot from post-trade monitoring to First Line of Defence with our outbound API that enables pre-trade/intraday position limit monitoring for the Front Office.

FundApps team of regulatory experts code any changes into rules with Position limits. Number 4 in front of a wavelength created by blue dots.

Interactive warning system

The ability to set up bespoke alerts to suit a variety of risk appetites ensures adequate warning of when positions are approaching limits.

Power of community | Power of community |
Why Community is the X Factor of Compliance
Community
9 mins

Why Community is the X Factor of Compliance

Discover the power of community & collaboration in the financial industry and why a diverse community leads to innovation, productivity, & compliance.

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Reduce risk, avoid fines, inform strategy

Accurate position limits monitoring relies on a multitude of data points that can be easily interrogated as well as an informed understanding of the nuances of the ever changing rules. Manual systems and review processes aren’t designed to shoulder the workload.

The simple answer is automation. Our Position Limits platform is more than just the technology, it comes with the hard-to-get data, rules designed by regulatory experts as well as amazing customer service. Talk to us today.

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Useful Blogs To Read

Peeling Back the Layers of Position Limits
Position Limits
3 mins

Peeling Back the Layers of Position Limits

Position Limits cover the purchase and trading of a broad set of derivatives across asset classes and instruments. Where did it all start?

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Why Derivatives Limit Monitoring Needs Automation
Position Limits
4 mins

Why Derivatives Limit Monitoring Needs Automation

Learn why derivatives limit monitoring needs automation & why a manual intervention process, takes an inordinate amount of effort to keep working effectively.

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SFC Announces Changes to Position Limit Regime
Position Limits
3 mins

SFC Announces Changes to Position Limit Regime

The first changes to the SFC Position Limit Regime since 2017 take effect on 22 December 2023, altering four major requirements for investment managers.

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How are CFTC Position Limits calculated?
Position Limits
3 mins

How are CFTC Position Limits calculated?

In the US, the CFTC makes provisions for the exchanges to set the specific position limits that can be accumulated by the market participant on their exchange.

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