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Risk, Compliance & Market Integrity

End-to-end risk management for investment banks, asset managers, and trading firms. AML surveillance, IFRS 9 impairment, operational risk quantification, ESG reporting, and cybersecurity — all on one unified platform.

Challenges Facing Capital Markets

Investment banks and trading firms face unique regulatory, risk, and security pressures across global markets.

Complex Regulatory Landscape

Investment banks and asset managers navigate MiFID II, Dodd-Frank, EMIR, Basel III/IV, and jurisdiction-specific regulations simultaneously — each with unique reporting timelines and data requirements.

Financial Crime & AML Risk

Capital markets transactions involve complex cross-border flows, correspondent banking, and high-value trading that create significant AML/CTF exposure requiring sophisticated monitoring and SAR reporting.

Market & Credit Risk

Volatile markets, counterparty credit risk, and complex derivative portfolios demand real-time risk quantification, IFRS 9 impairment modeling, and stress testing under multiple scenarios.

Cybersecurity & Data Protection

Trading platforms, market data feeds, and client portals are high-value targets for sophisticated threat actors seeking to manipulate markets, steal proprietary strategies, or exfiltrate client data.

How Raptas Solves Capital Markets Challenges

Purpose-built platforms addressing every dimension of capital markets compliance, risk, and security.

AML/CTF for Trading & Investment

Real-time transaction surveillance across trading activities, fund flows, and correspondent banking. AI-powered anomaly detection identifies layering, wash trading, and complex laundering schemes.

Cross-border transaction monitoring & sanctions screening
Trade surveillance for market manipulation detection
Automated SAR/STR reporting with case management
PEP and adverse media screening for counterparties
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IFRS 9-ECL for Investment Portfolios

Automated expected credit loss calculations for trading books, lending portfolios, and counterparty exposures. Multi-scenario ECL with forward-looking macroeconomic adjustments.

PD/LGD/EAD modeling for diverse asset classes
Stage migration monitoring with SICR triggers
Multi-scenario probability-weighted ECL calculations
Dual alignment with IFRS 9 and local regulations
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Operational Risk for Capital Markets

Basel III-aligned operational risk management with RCSA, KRI monitoring, Monte Carlo simulation, FAIR quantification for cyber risk, and operational resilience for critical trading infrastructure.

RCSA for trading desks, operations, and technology
KRI monitoring with real-time threshold alerts
FAIR quantification for trading system cyber risk
Operational resilience for critical market infrastructure
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ESG for Sustainable Investing

ESG scoring, carbon tracking, and sustainability reporting for investment portfolios. EU Taxonomy classification, SDG alignment, and green bond/loan tracking for responsible investment mandates.

Portfolio-level ESG scoring and carbon footprinting
EU Taxonomy classification for investment products
SDG alignment mapping for impact investing
TCFD and SFDR regulatory reporting
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Enterprise GRC for Capital Markets

Unified governance, risk, and compliance platform with regulatory reporting automation, stress testing, risk appetite monitoring, and board-level governance dashboards.

MiFID II, Dodd-Frank, EMIR compliance tracking
Capital adequacy and stress testing frameworks
Risk appetite monitoring and breach escalation
Regulatory submission automation and audit trails
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Cybersecurity for Trading Infrastructure

Unified SOC with 24/7 monitoring of trading platforms, market data feeds, and client portals. AI-powered threat detection with automated SOAR playbooks for rapid incident response.

Trading platform and FIX protocol monitoring
Insider threat detection for proprietary strategies
Dark web monitoring for leaked credentials
Automated incident response for trading disruptions
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Frequently Asked Questions

Ready to Transform Capital Markets Risk & Compliance?

See how Raptas platforms can streamline your trading compliance, risk management, and security operations.

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