FSMA‑regulated derivatives brokers operate under some of the most demanding regulatory regimes in the world. They must monitor millions of trades, positions and cash movements while keeping accurate records, maintaining segregation of duties and responding to evolving rules. Traditional systems often cobble together spreadsheets and disparate tools, leaving compliance teams over‑stretched and vulnerable to errors.
T100 automates compliance from day one.
Built with a leading global clearer, the platform unifies all client and transaction data in one secure engine.
Daily consistency checks run at 6 AM to identify anomalies, and when a breach is detected, the system instantly raises an alert with a traffic‑light priority. Red alerts require immediate action, while amber alerts highlight items to be addressed. All alerts and actions are logged, creating a court‑ready evidence trail for audits.
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Manage tasks and sign‑offs with the compliance diary.
FSMA brokers need to demonstrate who did what, when and how. The compliance diary assigns tasks to team members, records hand‑offs and ensures senior officers provide sign‑off. Historical actions remain searchable even when staff change roles, ensuring continuity and eliminating compliance gaps.
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Integrated risk scoring and UBO mapping.
Derivatives brokers must understand not only their clients but also the ultimate beneficial owners behind complex structures. T100 calculates a transparent risk rating using FATF, CPI and Basel scores and maps UBO hierarchies. When a client trades an unfamiliar product, the system flags it immediately and prompts a review.
Seamless integration and scalability. Brokers can integrate T100 with existing back‑office
systems, banks and exchanges over 25 data sources are supported . The platform is built to handle millions of trade lines and can be deployed regionally to meet local privacy requirements.
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Final thoughts
In an environment where regulators demand granular records and instant responses, T100 turns compliance from a cost centre into a competitive advantage. Brokers gain a holistic view of client activity, proactive alerts and the confidence that they are ready for any audit. Schedule a demo to see how T100 can transform your compliance operations.