Capital Markets Compliance Suite
Gain oversight of all regulatory compliance risks and mitigate potential consequences
Scalable, modular platform for end-to-end trading compliance and surveillance
FIS® Capital Markets Compliance Suite is a scalable platform that uses AI and machine learning to address complex regulatory requirements. It streamlines global compliance by automating processes and embedding controls into workflows, improving transparency, reducing risk and increasing efficiency. The solution delivers pre-trade and post-trade risk controls, market and employee surveillance, and compliance reporting – enabling enterprisewide decision-making and adherence to global regulations.
FIS can help
One of the largest and most configurable alert libraries available, out of the box
Detect
Automate regulatory risk detection to improve efficiency
Act
Mitigate potential regulatory compliance issues before they become a problem
Document
Manage workflows and provide evidence of review for auditors and regulatorsUnify compliance across trading operations
Capital Markets Compliance Suite provides a scalable, modular platform to help firms address global regulatory rules across jurisdictions and manage trading compliance, pre-trade and post-trade risk, market abuse, anti-fraud controls, communications and employee surveillance while delivering transparency and reporting for confident, timely decisions.
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Pre-trade Compliance
Regulatory Reporting Assurance
Surveillance
Results (0)
Compliance Reporting
Reduce regulatory risk with centralized compliance reporting
FIS® Compliance Reporting helps mitigate reputational and regulatory risk. FIS® Compliance Reporting Manager helps you comply with Consolidated Audit Trail (CAT) rules while increasing transparency. It efficiently collects, normalizes, validates, transmits and maintains reportable events in one central forensics repository. Compliance Reporting Manager gives you a single point of entry for submitting your U.S. equities and options data in eligible securities to FINRA CAT for processing. With access to the same data that regulators use, you can detect and fix errors prior to CAT submission and ensure proactive compliance.
Employee Compliance
Reduce compliance risk with automated issue detection
FIS® Employee Compliance is a comprehensive browser-based application solution that automates conflicts of interest management and code of ethics administration. Conflict of interest and code of ethics issues arise from several factors, including, but not limited to, employee personal trading, outside business activities, private securities transactions, gifts and entertainment, research activities, and deals and engagements. Employee Compliance Manager functionality focuses on automated identification of issues, workflow flexibility to support firm processes and extensive reporting that caters to actions such as management reporting or dashboards and regulator requests.
ETD Reporting
Drive accurate and compliant financial trade reporting
FIS® ETD Reporting (formerly Droit) automates validation and eligibility checks, helping firms achieve accurate, compliant financial trade reporting. It delivers transparent, high-performance regulatory reporting by identifying real-time obligations, validating accuracy against regulatory and trade repository standards, and tracing decisions back to source regulation text. ETD Reporting also supports efficient, audit-ready operations at scale through APIs, comprehensive dashboards and auditable decision reports to help reduce errors, remediation effort and regulatory risk.
Market Surveillance
Strengthen market integrity surveillance workflows
FIS® Market Surveillance supports compliance organizations' surveillance for market integrity issues involving potential insider trading and market manipulation, such as wash sales, spoofing and layering across asset classes and all firm, portfolio, trader or algo, and client trading. Market Surveillance Manager provides a rich rules library that is updated in step with evolving regulation, rich analytical tools, case management and an audit trail of all analysis and investigations, easing the burden of audits. It combines the benefits of a comprehensive, off-the-shelf solution with the flexibility of a custom-built solution. Compliance users who are closest to the issues can fine tune the application to meet their changing needs.
Pre-Trade Compliance
Deliver traceable, systematic pre-trade controls
FIS® Pre-Trade Compliance (formerly Droit) embeds compliance directly into the trading workflow through API-first automation to help ensure every trading decision is clearly evidenced against internal policy and regulatory text. The platform aggregates checks across KYC setup and refresh, legal documentation, credit lines, account setup, “do not trade” lists and sanctions, delivering ready-to-trade decisions to salespeople while enforcing granular trade mandates and cross-border booking rules with configurable hard and soft blocks.
Supervision Compliance
Detect and manage high-risk broker and trading behavior
FIS® Supervision Compliance helps mitigate reputational, internal and regulatory risk stemming from sales practices issues and potential fraud pertaining to high-risk and recidivist brokers, abuse of senior investors, anti-money laundering, product suitability mismatches, overconcentration and excessive or short-term trading in long-term products. The solution helps you identify questionable transactions and high-risk positions, streamline review processes, support audits and respond to regulatory and internal audit inquiries quickly. Supervision Compliance Manager also helps position the firm to be able to address future obligations such as the Department of Labor Fiduciary Rule.
Trade & Transaction Reporting
Identify and manage reporting obligations with precision
FIS® Trade Transaction Reporting (formerly Droit) streamlines real-time tracking and accurate reporting of compliant trades while supporting primary submissions and post-trade quality checks. The platform delivers high-quality decisions by combining regulatory horizon scanning with input from leading financial institutions, while scaling to process millions of on-demand or batch transactions daily. Each decision is backed by an audit record detailing a clear, comprehensive decision path, and firms can re-run past decisions to gain a retrospective view.
Trading Compliance Manager
Gain a comprehensive view of the order lifecycle
FIS® Trading Compliance Manager is a multi-asset class platform that delivers trade surveillance, regulatory reporting and supervisory controls. The platform offers a single user interface and unified data model, deployed on Snowflake and Amazon Web Services. With comprehensive BI visualization and reporting, Trade Compliance Manager integrates transaction data, news data and market actions data to provide a holistic view of trading activities, while its architecture enables real-time alerts, predicted analytics and unified rules for market manipulation and trade surveillance.
Explore Our Perspective
Compliance Suite brochure
Enhance regulatory transparency with greater visibility into compliance risks, streamlined monitoring and efficient processes to help reduce total ownership costs.
Trading Compliance Manager brochure
Strengthen market surveillance and regulatory reporting with a multi-asset platform that integrates diverse data sources to detect violations with predictive analytics and real-time monitoring.
ETD Reporting product sheet
Streamline regulatory trade reporting through automated validation and eligibility checks, supporting audit-ready, real-time decisioning for more compliant, traceable submissions.
Pre-Trade Compliance product sheet
Integrate global regulatory rules with digitized internal policies to deliver a more comprehensive, accurate framework for consistent trading oversight.
Trade & Transaction Reporting product sheet
Simplify decision-making for regulatory reporting, providing forensic reviews that are auditable, traceable and repeatable with clear visualization of logic and adherence.
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