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Being compliant at the start of day (SOD) does not necessarily mean compliance. As funds execute trades intraday, limits can be breached. Most OMS systems have some form of pre-trade compliance checks that prevent trades from being executed if they will cause a breach, but these can be limited to pre-configured limits that may not apply to your strategy.

When trading more complex security types such as options and futures, OMS systems lack proper alerts, pricing models and risk models. Everysk has powerful workflows that can automate the entire pre-trade compliance process and work with your existing order management system.

Explore each step of this workflow below.

Pre-Trade Compliance, Pre-Trade Compliance Automation
  • Start

    Once the Everysk platform has ingested and refined your data, it’s time to trigger a powerful workflow. This example includes typical steps you’d find for pre-trade compliance. Crucially, each can be customized for your use case.

  • Trade Capture Robot

    The Trade Capture Robot listens for live trades from a blotter and injects relevant information into the workflow. This data may include details such as the time a transaction was made, the quantity, the price, the asset, and whether it was a purchase or sale. Choose from any of hundreds of available fields or create your own.

  • Trades Inserter Robot

    The Trades Inserter Robot merges trades with a current portfolio.


  • Risk Calculator Robot

    The Risk Analytics Robot calculates risk and exposure analytics at the portfolio and security level. This is accomplished for both portfolio and portfolio plus trades.

  • Compliance Check Robot

    The Compliance Check Robot compares portfolios and trade analytics against your predetermined limits and ranges. Customized alerts provide instant notification for trades outside of the range that’s been set.

  • Trade Staging Robot

    Next, the Trade Staging Robot passes trades and relevant portfolio data to an order management system to be staged for execution. Everysk integrates with a variety of API-based OMS, including those listed on our Partners page.

  • Trade Confirmation Robot

    Next, the Trade Confirmation Robot sends a user defined message via email, messaging platform or API to instantly notify users of executed trades.

  • Report Generation Robot

    The Report Generator Robot generates custom designed reports based on custom templates using portfolios, datastores, analytics and user data.

  • Report Distribution Robot

    The Report Distribution Report sends a dynamic report to predetermined users, based on predetermined settings. All settings may be customized according to your unique needs.

Pre-Trade Compliance Automation Benefits

Pre-Trade Compliance, Pre-Trade Compliance Automation


reduction in pre-trade timeline
Pre-Trade Compliance, Pre-Trade Compliance Automation


manual errors prevented
Pre-Trade Compliance, Pre-Trade Compliance Automation


of all breaches detected