Lesson 2.5 - Risk Tool and Control Awareness

Risk tools help the Dealing Room monitor exposure, account conditions, risk status and approved temporary controls. The goal is not to teach Dealers to design risk systems, but to make sure risk signals are read correctly.

Dealer View

Risk signal	What it means	Dealer action
Exposure	Company market risk by symbol, direction or group	Monitor trend, concentration and risk-status usage
Risk signal	Exposure, execution quality, concentration or event-window change	Verify the signal and escalate when the change is material
Account condition	Group, leverage, margin, trading permission or program rule	Verify against approved setup before concluding
Temporary control	Event, close, rollover or incident-related control	Confirm approval, scope, start/end time and Shift Leader / follow-up
Alert	System or risk signal requiring attention	Validate whether it is true, stale, duplicate or material

What Dealers Should Avoid

• Treating every alert as an incident.
• Ignoring an alert because "it happened before."
• Changing risk settings without approval.
• Explaining client outcome before verifying rule, price and execution evidence.

Evidence for Escalation

Symbol / account / group:
Observed risk signal:
Current value:
Threshold or rule:
Time observed:
Related event or market condition:
Evidence source:
Action requested:
Approver:

Risk tools support judgment; they do not replace responsibility, evidence or approval.

Completion Criteria

• Can explain the key risk or operational objective of this lesson
• Can identify the required systems, data, or evidence to review
• Can describe the correct escalation or handling process
• Has completed Shift Leader / follow-up review or practical confirmation