Every layer of the Atlas platform — from database interceptors to background surveillance workers — is built with regulatory requirements in mind. Audit trails that can't be modified. Surveillance rules that never sleep. Financial records that balance to the penny.
The Atlas audit system does not rely on developer discipline or access controls to protect the integrity of audit data. Instead, EF Core SaveChanges interceptors physically block any attempt to UPDATE or DELETE audit log or ledger entry records at the ORM level — before SQL is even generated.
Every entity change — create, update, delete — is automatically captured with the acting user ID, timestamp, IP address, old values, and new values stored as structured JSON. This audit data is immutable and retained indefinitely.
The Atlas surveillance engine monitors every trade, order, and transaction for suspicious patterns. Alerts are generated automatically, scored by severity, and routed to compliance officers for review. False positives can be dismissed with documented rationale.
Detects buy/sell sequences in the same security within configurable time windows that may indicate wash trading activity.
Flags orders or trade volumes that significantly exceed an account's historical average. Configurable multiplier thresholds.
Identifies patterns where large orders are preceded by related trades from connected accounts, suggesting information misuse.
Monitors for order-and-cancel patterns that may indicate layering — placing and cancelling orders to manipulate the order book.
Flags deposits, withdrawals, and trades that exceed configurable monetary thresholds for enhanced review.
Detects trades correlated with rapid price swings. Helps identify potential market manipulation or insider activity.
Monitors portfolio concentration levels that may indicate excessive risk or coordinated accumulation of a single security.
The Atlas KYC workflow guides clients through a structured, mobile-first onboarding process. Each step is independently tracked. Documents are stored securely in S3 with pre-signed URLs. Admin review happens in the backoffice portal with approve/reject/request-more-info workflows.
Automated customer reserve calculation per SEC Rule 15c3-3 requirements. Credits (client cash, payables) vs debits (margin, receivables). Minimum reserve computed and tracked daily with full audit history.
The platform enforces logical separation of client funds from brokerage operating accounts through the ledger. Client cash, client equity, and reserved funds are tracked in dedicated ledger accounts per client.
Every financial transaction — deposit, withdrawal, order placement, fee charge — requires an idempotency key. Duplicate requests are rejected, preventing double-charges and double-credits.
Before any order is accepted: buying power validation, account freeze check, KYC status verification, regulatory hold check, position limits, and configurable order size limits. All enforced server-side.
Automated reconciliation between payment gateway transactions, internal ledger entries, and bank settlements. Discrepancies are flagged for manual review. Full reconciliation reports by date range.
Background worker processes T+3 settlement. Mature trades are settled automatically. Settlement reports track pending, in-progress, settled, and failed settlements by date and security.
The Atlas RBAC system gives brokerage administrators granular control over who can see and do what across the entire backoffice. Every action — viewing a report, approving a KYC, cancelling an order — is gated by a specific permission. Roles are fully customizable per brokerage.
Every report can be filtered by date range, exported to CSV, and scheduled for automatic delivery via email. Reports cover financial, regulatory, trading, and operational domains.
Atlas handles surveillance, audit trails, KYC workflows, and financial controls so your compliance team can focus on strategy — not spreadsheets.
Talk to Our Compliance Team