Back Office

Back Office Solutions

Daily Confirms

AQUAS BLUE generates comprehensive Daily Confirmations for back-office operations, consolidating all trade activity across accounts into a structured, end-of-day report. These confirmations include complete trade details such as execution time; instrument; price; quantity; counterparty; and settlement instructions, ensuring accurate reconciliation, clearing, and regulatory compliance. Delivered via secure channels in customizable formats (FIX, CSV, XML, etc.), Daily Confirmations streamline post-trade workflows and support efficient coordination with clearing firms and custodians.

*Broker Dealer clients are responsible for documenting and delivering trade confirmations to clients within their purview.

On Demand Statements

AQUAS BLUE offers flexible On-Demand Statements, giving users instant access to up-to-date account information, anytime it's needed. Traders, managers, and back-office teams can generate real-time reports detailing positions; trade history; margin usage; cash balances; and P&L, customizable by date range, account, or asset class. These statements are available through the platform interface or API, and can be exported in multiple formats (PDF, CSV, XML) to support audits, compliance checks, or internal analysis without waiting for end-of-day processes.

*Broker Dealer clients are responsible for documenting and delivering statements to clients within their purview.

Compliance Reports

AQUAS BLUE delivers robust Compliance Reporting tools designed to help firms meet regulatory obligations and internal policy requirements with confidence and ease. The platform provides automated generation of trade surveillance reports, audit trails, limit breach alerts, best execution analysis, and transaction-level records—tailored to specific regulatory frameworks (e.g., SEC, FINRA, MiFID II). Compliance teams can schedule reports, export data securely, and drill down into individual account activity for quick resolution of exceptions or inquiries. With real-time monitoring and historical reporting capabilities, AQUAS BLUE ensures transparency, accountability, and readiness for regulatory scrutiny.

• CAT Reporting
• CAIS Reporting
• Spoofing/Wash Sale Reporting

Risk Disclosure Statement

Understanding the Risks of Using Our Trading Platform While we strive to provide a robust and secure trading environment, it is crucial for all users to understand the inherent risks associated with electronic trading platforms and financial technology. This disclosure outlines some of these potential risks, though it is not an exhaustive list:

Technology Risk Disclosure

Cybersecurity Risks
- Unauthorized Access: There is a risk of potential privacy violations, hacking attempts, and data breaches by cybercriminals, which could compromise your personal and financial information.
- Malware and Ransomware: Your access to trading or data could be disrupted, stolen, or blocked by malicious software like malware or ransomware.
Operational and System Risks
- System Failures: Our platform, like any complex technology, can experience bugs, outages, delays, or other disruptions. These issues may affect trading execution, potentially leading to missed opportunities or unintended outcomes.
- Data Integrity: Flaws or inaccuracies in data feeds can occur, which might lead to unfavorable trading decisions or outcomes based on incorrect information.
- Connectivity Issues: Problems with internet connection or network infrastructure (either on your end or ours) can delay or prevent timely trading, impacting your ability to execute orders as intended.
- Monitoring Challenges: Despite our best efforts, challenges can arise in system monitoring, including issues with data input, procedural violations, or inaccurate setting of parameters, which could impact the system's performance or compliance.
Regulatory and Market Risks
- Regulatory Changes: The financial regulatory landscape is dynamic. Unpredictability of future regulations can result in new requirements, fines, penalties, or legal repercussions for the firm, which may indirectly impact services or costs.
- Technology Limitations: Even with advanced technology, system defenses are not infallible. We continuously work to enhance our security and performance, but no system can guarantee absolute protection against all threats or perfect operation at all times.
Technology Investment and Service Impact
- Maintaining effective, cutting-edge technology, especially with the rapid development of areas like Artificial Intelligence, involves significant costs. While we invest heavily in our platform, these costs can influence service offerings and pricing.

Your Responsibility

It is essential that you understand these risks before engaging in trading activities on any electronic platform. By using our services, you acknowledge these inherent risks. We encourage you to implement your own robust security practices and to continuously educate yourself on market and technology risks.

Rule 606/605 Reporting

Our platform automates compliance with SEC Rules 605 and 606, delivering full transparency into order execution and routing practices.

‍Rule 605 (Execution Quality):
We generate detailed execution quality reports, including metrics like execution speed, price improvement, and fill rates, ensuring your firm meets disclosure requirements with accuracy and consistency.

‍Rule 606 (Order Routing):
Our system compiles and delivers both public and customer-specific reports on order routing, including venue usage and payment for order flow (PFOF) disclosures, helping your firm stay compliant and transparent.With our built-in 605/606 reporting engine, you can streamline regulatory workflows, reduce manual effort, and demonstrate a commitment to best execution.