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Risk Management Software

Lightspeed has risk management software to help you oversee your positions and risk at all times. We can help you manage anything from several traders and a few positions to large trading groups and hundreds or thousands of positions. We’ll give you the ability to monitor and manage risk properly to assist in running your trading strategy.

Whether we are acting as your broker or service bureau we have the right risk management software to help managers oversee their positions and risk at all times.

Pre-trade Risk Management

Outlined Controls from Rule 15C3-5

Lightspeed Gateway has been designed and implemented to meet the outlined regulatory controls contained within Rule 15c3-5, which include all pre-trade risk validation requirements. All account rules have been uniquely coded to minimize latency. These rules monitor risk associated with buying power, buying power factor, maximum order size, maximum position size, P&L loss thresholds, short checking, odd lot allowances / restrictions and settings to reject all incoming orders. Lightspeed Gateway prides itself on being extremely efficient. All risk and compliance checks are made prior to sending data to market without incurring any measurable latency.

Lightspeed Risk Suite

Complete Risk Management for Traders and Risk Managers

Lightspeed offers Lightspeed Risk, a solution for risk management that manages Lightspeed Trader activity. The risk management application is designed to help trade managers and risk supervisors manage risk across multiple accounts. Users can monitor profit, loss, halted trading symbols, and real-time trading activity. Users can also access an automated, real-time short locate system which allows for electronic requests and ensures compliance regulation.

  • Symbol Monitoring: Quickly see traders’ exposure to a particular symbol of interest.
  • Halted Symbols: See what traders are holding a halted trading symbol and the number of shares.
  • Trade Watcher: Real-time scrolling view of all executions for your trading group.
  • Equity Ratio Monitors: Display a trader’s real-time profit or loss as a percentage of their total account value. This can be used on both individual and grouped accounts and monitor risk across all products traded.
  • Short Sale Requester: Real-time locate system of electronic requests and responses that ensures compliance with regulations.
  • Trading Limits: Set P&L, positions size, and other trading limits on any supervised account. Violations are automatically blocked.
  • Portfolio margin and advanced options risk.
  • Completely customizable design window layouts and all columns.

Options Risk Management

The Options Risk Manager, a proprietary risk and leverage management application, offers options traders and portfolio margin clients access to order execution. ORM is an order execution, risk, and position management system that has been designed to address functionality gaps that are not available in many third party trading systems. The product is constantly being enhanced and improved using client input and internal development resources.

Risk Management & Margin Monitoring

The risk and margin tools address needs that are of significant importance in managing a trading group with a portfolio margin type of count. The margin monitors are especially important and are tools that differentiate ORM from any other option risk management system.

Real-time Portfolio Margin

With real-time portfolio margin, managers can monitor each asset class for excessive risk on either a summary tab or they can drill into each asset class and view real-time requirements on individual positions.

Day Trade Margin: Evaluation & Management

This tool calculates day trade margin requirements in real-time and displays various metrics to assist trading groups with liquidation decisions from positions subject to Day Trade Margin. On the screen, users are able to view data in a summarized format for the entire group or evaluate individual positions that are ranked by margin requirement.

Auto Risk

Predefine Trading Parameters and Limits

This application allows the manager to set differing predefined trading parameters and limits for different users on the Lightspeed Trader platform. Some of these parameters include:

  • Profit and loss
  • Position size
  • Number of open positions
  • Pre and post market trading
  • Various exchanges

If any of the limits are reached, then an automated action is taken. This invaluable tool gives managers the peace of mind they need to implement and monitor their rules and strategies.


Broker Order Entry Interface

As an additional measure of risk management with Lightspeed Trader, Broker Order Entry Interface (BOEI) gives managers the ability to access the accounts of, and place trades in real-time accounts that they manage or supervise. This easy to use order entry interface also gives managers the ability to place trades for their traders if they direct you to do so or if for any reason they are unable to enter an order on their own.