Risk Management

The futures markets are dynamic, volatile and highly unpredictable. We strongly believe that our active approach to risk management across all areas—from regulatory to trade risk – is one of the key foundations on which the firm is built.

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As a principal-owned and managed business, led by Leslie Rosenthal and J. Robert Collins, Rosenthal Collins Group is conservative by nature. With origins back to 1923, we have seen first-hand the risks that the markets and traders have offered up—from market crashes and market squeezes to bear markets and bull markets. As our lengthy track record shows, Rosenthal Collins Group has consistently handled all types of markets with a calm resolve and unyielding commitment to customer protection—something we plan on delivering to our valued customers for a long time to come.
 

Transparency and Regulatory Oversight

For over 90 years, the heart of our business has been exchange-traded futures and options. With exchange-traded products, transactions and positions are marked-to-the-market and cleared through well-capitalized, regulated clearing houses. As a result, financial positions are transparent. As a Futures Commission Merchant (FCM), our activities are monitored by the CME Group (our Designated Self-Regulatory Organization, or DSRO), the National Futures Association (NFA) and the Commodity Futures Trading Commission (CFTC).

 

Risk Monitoring

We firmly believe that utilizing both qualitative and quantitative risk strategies is key to mitigating exposure in a volatile market. We employ a full team of risk managers that use an array of the latest tools and technology to monitor risk 24 hours a day on both a pre- and post-trade basis. Customers rely on Rosenthal Collins Group for its solid financial position and conservative approach to capital investment. This is why we’ve invested significant resources to proactively monitor the funds that our valued customers have entrusted to us.

 

Customer Segregated Funds

It’s your money. You have a right to know where your account funds are and how they are being invested. That’s why Rosenthal Collins Group is transparent about its investment of customer segregated funds and posts the information to its website daily, the first futures broker to do so.

 

Redundancy

We maintain a business continuity center located in the Chicago suburbs in the event we cannot perform business in our primary location. All business functions may be performed from this location so that our customers continue to receive a high level of service.

 

Systems Security

Our Data Center, housing our networks and servers, is offsite and boasts extraordinary security, reliability and scalability. We have backup power to operate for 30 days. Anyone who accesses the facility must pass through five biometric screening checkpoints. Our perimeter walls protect against fire and explosion. Finally, an enterprise-wide monitoring system can alert staff of environmental or system issues 24 hours a day, 365 days a year.

 

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