Capital Markets AI That
Executes Work.
Governed, auditable AI agents working directly inside Bloomberg, your OMS, DWH, and regulatory portals. MiFID II T+1 submissions automated end-to-end. Counterparty risk re-scored in minutes, not hours. Zero missed reporting deadlines.
What changes when CAIBots
files a T+1 report.
A standard MiFID II transaction report, before and after. Same trade data. Same ARM portal. Different execution model.
Zero missed deadlines.
Every filing on time.
Regulatory reporting is where the largest operational risk exists for capital markets firms. CAIBots automates the full data-to-submission cycle — reporting teams review exceptions, not execute the process.
T+1 transaction reporting executed automatically — data aggregation, field validation, XML generation, ARM submission, and exception flagging. Zero manual intervention for standard trades. FCA and ESMA reporting standards enforced at the architecture layer.
EMIR trade repository submissions generated and filed at T+1. Clearing obligation monitoring, margining requirement tracking, and direct submission to DTCC, REGIS-TR, or your nominated trade repository with full exception handling.
Counterparty credit events trigger automatic risk re-scoring — live market data retrieval, CVA/DVA recalculation, exposure limit assessment, and breach routing for dual approval before any action executes. 48-hour process compressed to under 4 minutes.
Real-time surveillance across trading activity — spoofing, layering, and wash trading pattern detection with automatic evidence brief generation and STOR pre-filing for high-confidence alerts. False positives auto-resolved without investigator time.
Watch a T+1 filing execute.
See counterparty risk close in 4 minutes.
Production-accurate scenarios. Live ARM portal submissions. Real MiFID II Art. 26 audit trails. Not a sandbox.
30-day deployment
entry points.
MiFID II T+1 reporting first — the highest-risk manual process for most capital markets firms. Surveillance and counterparty risk follow with clear expansion paths.
Start with T+1 transaction reporting — the highest-frequency, highest-deadline-risk process. Immediate compliance value with zero regulatory risk. Average 14–21 days to first live ARM submission with full audit trail.
Automate the alert triage queue — every surveillance flag classified, enriched with order context, and either auto-resolved or escalated with a full MAR evidence brief. Immediate reduction in analyst manual review time.
Automate the daily counterparty credit event monitoring cycle. Every rating change, CDS move, and material news event processed and exposure re-scored without analyst intervention on standard monitoring workflows.
Pre-built capital markets
execution agents.
Every agent production-ready. Configures to your trading infrastructure, risk systems, and regulatory reporting pipelines in under 90 days.
FCA and ESMA examiner-ready.
Every execution.
For capital markets, compliance is not a documentation process. It is the execution boundary. Every workflow in the CAIBots CM stack operates within these frameworks by design — not configured post-deployment.
T+1 transaction reporting, best execution documentation, research unbundling records, and client communication logs — all generated automatically at the Execution Layer with MiFID II-compliant data structures and five-year retention.
ICT risk management documentation, incident reporting workflows, and third-party risk monitoring — executed and logged at every step. DORA-compliant audit trails for all AI-driven decisions affecting trading operations.
Swap dealer reporting, Volcker Rule compliance monitoring, and systemic risk flag detection. Consumer protection execution for retail-facing CM products automated with full regulatory record creation on every workflow.
CVA/DVA calculation execution, capital ratio monitoring, and stress testing data aggregation with BCBS 239-compliant lineage tracking. Every risk data write includes source, transformation logic, and timestamp.
Derivative trade reporting, clearing obligation monitoring, and margining requirement execution. EMIR trade repository submissions generated and filed at T+1 with full exception handling and audit trail.
Suspicious transaction and order reporting (STOR), insider list management, and market manipulation detection — all executed with MAR-compliant evidence documentation and regulator-ready case files generated automatically.
Every decision boundary
enforced at the architecture layer.
Deterministic execution — given the same trade data, the same report generates every time. An FCA or ESMA examiner can reproduce any execution from the audit record without pulling data from multiple systems.
| Workflow | Trigger | Governance | Auth Required | Reg Reference |
|---|---|---|---|---|
| MiFID II T+1 — Standard Trade | T+1 deadline · complete data | Auto-Execute | None | MiFID II Art. 26 |
| MiFID II T+1 — Data Exception | T+1 deadline · data gap detected | HITL Gate | Reporting Officer | MiFID II Art. 26 |
| Surveillance — Low Alert | Pattern flag · low severity score | Auto-Resolve | None | MAR Art. 16 |
| Surveillance — High Alert | Spoofing / layering signal confirmed | HITL Gate | Head of Compliance | MAR Art. 16 · STOR |
| Counterparty Risk — Monitoring | Daily credit event monitoring cycle | Auto-Update | None | Basel III · EMIR |
| Counterparty Risk — Limit Breach | Exposure limit breach detected | Dual Approval | CRO + Risk Committee | EMIR · Basel III |
The teams who own
trading compliance.
Watch a T+1 filing execute
in under 12 minutes.
30-minute session. We map your highest-value CM workflows, demonstrate a live MiFID II filing or surveillance execution, and scope a 90-day production path.