Derivatives Trading and Regulatory Compliance

With the CFTC, FERC, FSA, FTC, SEC and other regulatory bodies introducing continuous and complex requirements, Utility and Energy companies are expected to adhere to strict guidelines and protocols to avoid significant fines and/or other legal repercussions. RPM provides a single, on-demand platform that automates Regulatory Compliance and Trading Oversight for North America’s Utility and Energy Industry.

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Trader-Limits

Trader Limits

Monitor internal limits violations for all derivatives and commodity trading activity with ease using ePic’s Trade Limits feature. You can monitor a broad array of limits – like position, value, term, duration, portfolio, etc. ePic allows you to customize notifications as on-screen alerts or e-mail or both, along with automated email notifications to traders & their managers for limit breaches.

Trader-Limits
Wash-Trades

Wash Trades

ePic's Wash Trades reporting allows you to identify exact wash trades and potential wash trades. The potential wash trade detection id driven by pre-configured, but customizable, thresholds across attributes like trade price and categories like products/commodities.

Bang-the-Close

Bang the Close

ePic's Bang the Close report allows you to view violations for all traders on a given day with custom trade intervals - like 1 hour, 15 mins, etc., and indicate the trades executed during the settlement periods of the given products. The report can also be generated for a 7-day period to identify trading patterns.

Bang-the-Close
Virtual-Awards

Virtual Awards and FTR Loss Leading Analysis

ePic gives you the ability to overlay FTR positions with Virtual trades across all nodes and delivery dates/times, and effectively catch loss-leading behavior. The report can be run for a daily, weekly or monthly snapshot of trade dates.

More Features

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UI-based Rules Engine

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Data archival

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Power BI and Tableau

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Custom email notifications

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balance-contracts

On-screen alerts and violations dashboard

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UI-based Rules Engine

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What Our Clients Say

RPM has proven to be very beneficial to my daily monitoring tasks as well as all of my monthly compliance packages. Prior to RPM, the manual process would take up to days to gather data and create slides. Utilizing RPM allows us to maintain a daily ongoing file, and when we are ready we can easily run the report and have the slides created within 30 minutes or less.

Trade Compliance Manager - NRG Energy

HOC was able to bring to life an exchange limits system at a fraction of the cost of something built by large banking institutions, which deployed at NRG, has protected the company from exceeding limits exposure on serveral occasions.

Director, Regulatory Compliance - NRG Energy

Compliance Overview
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