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Regulatory Compliance

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Filter:Regulatory Compliance

Category – Regulatory Compliance

Regulatory compliance refers to the adherence to laws, regulations, and guidelines governing business operations, particularly in the financial industry. In trading, regulatory compliance ensures that firms meet legal requirements, such as reporting, licensing, and anti-money laundering measures, to protect investors and maintain market integrity. Traders and firms must comply with regulations set by bodies like the SEC, CFTC, or FCA to avoid penalties, legal issues, and reputational damage, ensuring smooth market functioning and investor confidence.

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RISK PER SHARE VALUE

Risk Per Share Value dynamically measures the monetary risk per unit or share, reflecting real-time exposure based on the current stop price and position size.

RISK PER SHARE PERCENTAGE

Risk Per Share Percentage dynamically measures the percentage risk per unit or share relative to the entry price, reflecting real-time exposure as prices and positions evolve.

WIN RATE

Win Rate measures the percentage of successful outcomes, with the environment defined by the scope. It evaluates the effectiveness of strategies based on profit and loss at the transaction, trade, and portfolio levels.

REALIZED P&L (PROFIT & LOSS)

Realized P&L reflects the profit or loss from individual closed transactions. It is calculated as the difference between entry and exit prices, multiplied by trade quantity, excluding fees.

UNREALIZED P&L (PROFIT & LOSS)

Unrealized P&L reflects the profit or loss of individual open transactions in a trade based on current market prices. It dynamically updates with price changes, excluding fees.

STATUS

Status indicates whether a transaction, trade, or portfolio is currently active (open) or finalized (closed), providing a clear view of the current state of financial activities.

QUANTITY PURCHASED

Quantity Purchased represents the total number of units acquired in a transaction, trade, or portfolio, reflecting the initial position size, factoring in leverage.

QUANTITY REMAINING

Quantity Remaining represents the number of units still held in open positions after partial or full closures, reflecting active holdings.

QUANTITY CLOSED

Quantity Closed represents the number of units exited from positions through sales or other closures, reflecting completed transactions.

RISK VALUE

Risk Value represents the exposure to potential loss, expressed as a monetary amount, with the environment defined by the scope. It evaluates financial risk at the transaction, trade, and portfolio levels.

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