Glossary

Software that converts portfolio transactions, positions, cash, income, accruals, prices, tax lots, and realized gains into controlled accounting and reporting views.

A portfolio accounting system is the controlled architecture that maintains transactions, positions, cash, accruals, valuation inputs, tax lots, reconciliation, and audit evidence for portfolio accounting workflows.

Portfolio risk controls turn exposures, limits, liquidity, counterparty, collateral, and settlement signals into governed post-trade checks, exceptions, approvals, and evidence.

The real-time tracking of a firm's securities holdings across all accounts and custodians, updated as trades execute, settle, and corporate actions are applied.

Software that automates daily comparison of internal position records against custodian statements, prime broker reports, and on-chain ledger state, surfacing breaks before they affect Rule 15c3-3 determinations, NAV, or securities count obligations.

The technology layer that turns post-trade activity into an exam-ready compliance record: audit trail, supervisory controls, and books and records under SEC and FINRA rules.

Technology automating post-execution back-office workflows — trade capture, confirmation, settlement, reconciliation, position management, and regulatory compliance.

Unified prime broker infrastructure delivering execution, custody, margin, and securities lending across traditional and digital assets from a single real-time system of record.

Broker-dealer service providing hedge funds with margin financing, securities lending, custody, and clearing through give-up arrangements — governed by a Prime Brokerage Agreement, ISDA Master Agreement, and FINRA Rule 4210.