Automate capital markets governance, risk, and compliance — MiFID II monitoring, Dodd-Frank & EMIR automation, trading risk quantification, and AI-powered regulatory reporting in one platform.
Capital markets firms face intense regulatory scrutiny across multiple jurisdictions — requiring automated, continuous compliance management.
Capital markets firms operate under overlapping regulatory regimes — MiFID II, Dodd-Frank, EMIR, MAR, and Basel III/IV. Navigating these frameworks simultaneously without automated compliance mapping creates critical regulatory gaps and enforcement risk.
Quantifying market, credit, and counterparty risks across complex trading portfolios — derivatives, fixed income, equities — requires real-time data aggregation, sophisticated modelling, and continuous stress testing capabilities.
Regulators demand frequent, granular reporting — transaction reporting under MiFID II, trade repository submissions under EMIR, and capital adequacy disclosures. Manual preparation is error-prone, time-consuming, and exposes firms to penalties.
Capital markets firms depend on clearing houses, prime brokers, custodians, and technology vendors. Assessing and continuously monitoring counterparty exposures and vendor risk across the trading lifecycle is a growing regulatory imperative.
Purpose-built governance, risk, and compliance automation for the capital markets industry.
Map MiFID II, EMIR, and Dodd-Frank requirements to internal controls automatically. GRC Sphere continuously monitors control effectiveness, identifies gaps, and generates remediation plans — keeping your firm audit-ready year-round.
Quantify market, credit, and operational risks across trading portfolios using AI-driven models. Aggregate risk data from front-to-back office systems to generate real-time risk heat maps and capital impact assessments.
Automate capital adequacy calculations, leverage ratio monitoring, and regulatory stress testing. Pre-built models for IFR/IFD capital requirements and Basel III/IV compliance for systemically important firms.
Assess and continuously monitor counterparty exposures across clearing houses, prime brokers, and trading partners. Automated risk scoring, exposure aggregation, and margin call impact analysis for all counterparty relationships.
Generate regulatory submissions for supervisory authorities automatically. Pre-built templates for MiFID II transaction reporting, EMIR trade repository submissions, and capital adequacy disclosures.
Real-time governance, risk, and compliance dashboards for firm leadership. Board-ready reports with risk trends, compliance status, trading risk exposure, and regulatory examination readiness.
Markets in Financial Instruments Directive — investor protection, transaction reporting, and trading venue compliance automation.
Derivatives regulation, swap reporting, Volcker Rule compliance, and systemic risk monitoring for US-regulated firms.
European Market Infrastructure Regulation — trade repository reporting, clearing obligations, and risk mitigation for OTC derivatives.
Capital adequacy, liquidity requirements, and leverage ratio compliance with automated monitoring for systemically important firms.
Market Abuse Regulation — insider dealing prevention, market manipulation surveillance, and suspicious transaction and order reporting (STOR).
Sustainable Finance Disclosure Regulation — ESG risk disclosure, sustainability reporting, and green taxonomy compliance for investment firms.
See how GRC Sphere can streamline MiFID II, EMIR, and Dodd-Frank compliance for your investment firm.