Compliance annotation
Each pre-trade pass or exception cites the mandate rule and source positions. Built for compliance sign-off, not silent auto-execution.
Security & architecture briefPrivate Equity
Trade pre-check agent for funds
Validate every order against fund mandate, restrictions, and portfolio limits before execution, with structured pass or exception packs for compliance sign-off.
The challenge
Pre-trade checks sit on the critical path for every order. Analysts manually cross-reference mandates, restricted lists, concentration limits, and current holdings across OMS, risk, and compliance systems. Under volume, checks get rushed, exceptions are missed, and audit evidence is scattered across email and spreadsheets.
How Lunnoa runs it
- 1
Ingest the order
Receive proposed trades from your OMS or order feed before execution.
- 2
Check the mandate
Compare the order to fund rules, restrictions, concentration limits, and live positions.
- 3
Pass or exception
Clear passes continue with a logged rationale; exceptions go to compliance or the PM with a structured pack.
- 4
Retain the proof
Store rule citations and source data so every pre-trade decision is reviewable.
Systems touched
- OMS
- risk system
- mandate library
- restricted lists
In the product
Step-by-step agent behaviour
Receive proposed trades from your OMS or order feed before execution.
Outcomes
- Pre-trade review on every order without adding headcount
- Faster exception handling: compliance gets context, not raw tickets
- Consistent application of mandate and restriction rules
- Full audit trail with citations back to policy and source systems
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Für Teams, die Infrastruktur bereits ernst nehmen.
- CTOs und Platform-Teams, die die Passung zur eigenen Referenzarchitektur prüfen
- Security und Compliance mit Fokus auf Datenresidenz und Zugriffskontrolle
- Operations-Teams, die nachvollziehbare Läufe brauchen, keine Black-Box-Automatisierung
- Builder, die unbegrenzte Nutzung unter einer Pauschallizenz wollen