Risk Management

Risk Manager is a Nasdaq ACT Workstation add-on service which allows correspondent clearing firms to manage risk exposure. Risk Manager offers real time monitoring against firm limit settings and activity trade control to manage risk exposure.


Features and Functionality


Intuitive graphical user interface (GUI). Refined total buying and selling power limits.

  • Fine-tuned blockbuster and sizeable limit settings
  • Time-saving Smart Searches
  • Trade notifications can be delivered through email and cell phone
  • Trade block critical trades on the fly
  • Manage your summary risk exposure by market participant and security
  • Segregation of locked-in and eligible trade limits and notifications for more control over your brokers
  • Detailed alerts that help you make split decisions on sensitive trades
  • See your summary risk exposure and gross trade amounts by stock and firm.
  • Enhanced trade entry with clearing price and improved trade analysis, including VWAP and Total Trade Price
  • Searches will offer historical trade dates, return up to 2,000 trades for each search and provide sorting and filtering capabilities
  • Trade searches can be exported to Excel and PDF

Contact Information