Risikoüberlastung und unbefugte Handelslimits
Definition
Trading firms set Level 3 halts at €3m exposure; failures in administration lead to potential fraud or abuse through unmonitored positions.
Key Findings
- Financial Impact: €1.5-3M per firm per halt event; 1-2% P&L loss from exposure breaches
- Frequency: Intra-day per trading firm exceeding limits
- Root Cause: Manual configuration errors in API/FIXML limits
Why This Matters
This pain point represents a significant opportunity for B2B solutions targeting Securities and Commodity Exchanges.
Affected Stakeholders
Clearing Member, Risk Controller, Back-Office
Deep Analysis (Premium)
Financial Impact
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Current Workarounds
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Methodology & Sources
Data collected via OSINT from regulatory filings, industry audits, and verified case studies.
Related Business Risks
Bußgelder bei HFT-Zirkuitbrecher-Verstößen
Data Act Verstoßstrafen bei Datenlizenzierung
Fehlende Rechnungsstellung für Mindestgebühren
Jährliche Listing-Gebühren Verzug
Verzögerte Abrechnung von Transaktionsgebühren
Hohe Due-Diligence-Kosten bei Börsenzulassung
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