Advisory thresholds and alerts for managing position concentration risk

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United States of America Patent

PATENT NO 11423485
SERIAL NO

17667155

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ATTORNEY / AGENT: (SPONSORED)

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Abstract

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Management of a position concentration risk of an account includes the establishment of a threshold level for an aggregate trader position. The aggregate trader position may be associated with one or more customer accounts that are managed by one or more clearing firms. An actual parameter value associated with each of the customer accounts is aggregated to determine an aggregate parameter value, which is compared against the established threshold value. If, based on the comparison between the aggregate parameter value and the established threshold value, it is determined that the aggregate parameter value meets or exceeds the established threshold value, an advisory alert is generated, which may be automatic. The advisory alert is then communicated or otherwise provided to one or more authorized entities.

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Patent Owner(s)

Patent OwnerAddress
INTERCONTINENTAL EXCHANGE HOLDINGS INC5660 NEW NORTHSIDE DRIVE 3RD FLOOR ATLANTA GA 30328

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Inventor(s)

Inventor Name Address # of filed Patents Total Citations
Cummings, Raymond J Decatur, US 9 4
Farley, Thomas New York, US 13 23
Hammond, Thomas Tinley Park, US 9 4

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