Capital Markets
Investment dealers, asset managers and exchanges under CIRO and OSC supervision, with EU AI Act reach on GPAI.
Algorithmic supervision, model provenance, and explainability obligations rising in parallel across CIRO, OSC and EU counterparties.
The obligations a capital markets supervisor will cite.
Each framework below is live in the supervisory conversation today. We index them against a single authoritative control mapping so the same evidence artefact answers every one of them.
From discovery through signed artifact.
Each playbook walks the full path — phases, control mapping, evidence output. Digital compliance officers handle the mechanical steps. Specialists carry the judgement calls and the sign-off.
NIST AI RMF Profile Playbook
Govern / Map / Measure / Manage — profiled to your sector, your use cases and the frameworks your regulators read.
Read the playbook →ISO/IEC 42001 · ControlsISO/IEC 42001 AIMS Stand-Up Playbook
Build a certifiable AI Management System: scope, policy, objectives, risk, controls, audit. Mapped to your portfolio.
Read the playbook →Cross-framework · MonitoringContinuous Control Monitoring Playbook
Drift, performance, outcome and complaint monitoring in one pipeline — outputs a supervisor can act on.
Read the playbook →Cross-framework · DocumentationRAG Assurance Playbook
Retrieval-augmented generation has its own attack surface — source provenance, index drift, poisoning risk. Control it.
Read the playbook →The services that carry the load in capital markets.
Three services carry most of the work in this vertical. Each is grounded in the same compliance intelligence layer, produces portable artefacts, and operates alongside your second line.
Senior advisory on the governance an AI-era regulator will actually examine — policies, roles, risk tiering, validation cadence.
Open the service →The engagement arm where digital compliance officers sit inside your workflow, drafting under human sign-off.
Open the service →Lineage, provenance, consent and quality — the substrate every AI control eventually leans on.
Open the service →Walk us through your capital markets portfolio.
Bring the inventory you have today — or the one you wish you had. We'll map it against the frameworks above, show you the artifact set your supervisor will read, and the playbooks that land it.