Trading Oversight
Every trade, reviewed against the record it came from.
Lux · Operations-embedded RegTech
Supervision shouldn’t leave you in the dark.
Lux keeps your operations visible — so compliance stays easy, not just possible.
01 — Platform
One integration runs your whole back office.
When your data connects to Lux, it becomes the live system running your trade records, cash movement, and account activity.
Compliance reporting sits directly on top of that same system — reflecting what’s actually happening, always current.
02 — Coverage
Built for correspondent-clearing introducing brokers.
Cash Movement Monitoring
Wires, journals, and transfers surfaced as they happen.
Enhanced Supervision
Focused review where your procedures call for it.
Recordkeeping
Documents filed, indexed, and retrievable on request.
Policy Documentation
Written procedures kept current alongside the work.
Regulatory Reporting
Reports drawn straight from live operational data.
03 — Approach
Built to fit. Built to last.
Runs on real operations
Trade records, cash movement, account data — Lux is the system that runs it, and compliance reporting reads directly from it.
Always current
Reports query the live operational system of record, reflecting what’s happening right now.
Priced to match the work
A new report is priced for what it actually takes to build on data Lux already has.
Grows with you
Lux scales as your firm grows and adapts as your needs change.
Lightweight by design
A lean system, built to do exactly what your firm needs.
Private by default
Your compliance data is reachable only over a private, encrypted network — never the open internet.
04 — Data & Workflow
Fluent in the feeds you already receive.
Lux works with the files your firm gets today — no change to how you receive them.
- Clearing-firm files
- Mutual fund positions & trades
- FinCEN 314(a) lists
- SEC EDGAR
- Bank activity
- Custom CSV / SFTP
Operations and compliance, one record.
Commissions, deposits, billing, and month-end close happen in Lux — so the records compliance reviews are the ones your team works from.
- Rep commissions & payouts
- Branch & firm production
- Check & deposit logging
- Fee schedules & billing
- Capital markets deals & placement fees
- Mutual fund direct business
- Month-end close
- Document filing & retrieval
05 — Get started
See it in action.
The best way to see how it works is on your own operational data — schedule a live walkthrough.
Schedule a Walkthroughor write to lux@vincitsystems.com