End-to-end anti-money laundering and counter-terrorism financing for capital markets — trade surveillance, cross-border transaction monitoring, market manipulation detection, and multi-jurisdiction SAR automation.
Capital markets firms face sophisticated financial crime threats across high-velocity, multi-asset trading environments — requiring intelligent surveillance and compliance at scale.
Capital markets firms process high-velocity cross-border transactions across multiple asset classes and jurisdictions. Layered fund flows through custodians, prime brokers, and clearing houses create opaque pathways that criminals exploit for money laundering and trade-based financial crime.
Detecting wash trading, spoofing, layering, and front-running requires real-time surveillance across order books, execution venues, and dark pools. Traditional rule-based systems struggle with the speed and complexity of modern electronic trading environments.
Capital markets participants rely on correspondent banking networks for settlement and clearing. These relationships introduce nested AML exposure, particularly when counterparties operate in high-risk jurisdictions with limited transparency into beneficial ownership.
Firms operating across multiple regulatory regimes must comply with divergent suspicious activity reporting requirements — from FinCEN SARs to EU FIU disclosures — with tight deadlines, varying formats, and overlapping obligations that strain compliance teams.
Purpose-built AML/CTF capabilities for capital markets firms — from trade surveillance to multi-jurisdiction regulatory reporting.
Comprehensive trade surveillance across equities, fixed income, derivatives, and FX markets — detecting manipulation patterns, insider trading signals, and cross-market abuse with ML-driven analytics.
End-to-end monitoring of cross-border fund flows across custodians, prime brokers, and clearing houses. Detect layering schemes, unusual settlement patterns, and suspicious corridor activity in real time.
AI-powered detection of market manipulation typologies including spoofing, layering, front-running, and pump-and-dump schemes. Analyzes order flow, execution patterns, and market impact in real time.
Real-time screening of counterparties, issuers, and beneficial owners against global sanctions lists (OFAC, UN, EU, HMT) and PEP databases. Fuzzy matching and entity resolution minimize false positives.
Automated suspicious activity reporting across multiple regulatory regimes. Auto-populate SAR/STR forms, generate AI-assisted narratives, and e-file to regulators — reducing filing time by up to 70%.
Intelligent case management that consolidates trade alerts, transaction alerts, and screening hits into unified investigation cases — enabling analysts to resolve complex cross-asset cases efficiently.
Full alignment with Markets in Financial Instruments Directive II requirements for transaction reporting, best execution, and market abuse surveillance across EU capital markets.
Comprehensive compliance with Dodd-Frank Act requirements including swap reporting, cross-border transaction monitoring, and enhanced due diligence for U.S. capital markets operations.
Support for EU Market Abuse Regulation including insider dealing detection, market manipulation surveillance, and suspicious transaction and order reporting (STOR) obligations.
Full alignment with Financial Action Task Force 40 Recommendations for AML/CTF, including risk-based approach, customer due diligence, and beneficial ownership requirements.
Support for EU Anti-Money Laundering Directives (AMLD 5/6) including enhanced due diligence, beneficial ownership transparency, and FIU reporting for capital markets firms.
Compliance with Office of Foreign Assets Control sanctions programs including SDN list screening, sectoral sanctions identification, and secondary sanctions risk management.
See how our AML/CTF platform can transform your capital markets compliance with trade surveillance and intelligent automation.