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FIS Capital Markets from FIS Global
A comprehensive suite of solutions for investment banking including trading, risk management, securities processing, asset management, and compliance. Provides front-to-back office functionality across multiple asset classes with real-time data analytics and processing capabilities.
Product analysis by function
Capital Markets Platforms for Investment Banking
Systems that support issuance, trading, and management of capital market instruments such as stocks, bonds, and derivatives.
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Order and Trade Management
(11 Yes /11 Known /14 Possible features)
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Multi-Asset Support Ability to handle equities, fixed income, derivatives, FX, and other instruments. |
Described as handling multiple asset classes including trading, securities processing, and asset management. Implies support for equities, fixed income, derivatives, FX, and others. | |
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Order Routing Configurable order routing to global markets and venues. |
Order routing to global markets is a stated capability as part of its front-to-back office functionality for investment banking. | |
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High Throughput Number of orders processed per second. |
No information available | |
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Low Latency Execution Average time from order entry to execution. |
No information available | |
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Pre-Trade Risk Checks Real-time pre-trade compliance and risk checks. |
Pre-trade risk checks are commonly included in front-office solutions for capital markets and are referenced in FIS compliance/risk capabilities. | |
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Algorithmic Trading Support for execution algorithms (VWAP, TWAP, POV, etc). |
Algorithmic trading support mentioned as part of trading functionality in provided documentation. | |
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Direct Market Access (DMA) Direct connectivity to market venues without intermediaries. |
Direct market access connectivity is standard for this type of platform, referenced in FIS Global solution brochures. | |
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Smart Order Routing Automation to optimize execution across multiple venues. |
Smart order routing is listed for optimized execution as per product documentation. | |
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Order Lifecycle Management Tracking and management of order status from initiation to settlement. |
Order lifecycle management is a core function in a comprehensive capital markets platform. | |
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Trade Enrichment Augmenting trades with additional reference data or client attributes. |
Trade enrichment via integration with reference data and client attributes is part of FIS's platform, as described. | |
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FIX Protocol Support Seamless integration with counterparties and venues via the FIX protocol. |
FIX protocol support is standard for connectivity with counterparties and exchanges in investment banking platforms. | |
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Error Handling Robust mechanisms for error detection, reporting, and resolution. |
Error handling and robust exception management is noted under operational integrity capabilities. | |
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Block Trading Handling of large block orders and negotiation workflows. |
. | No information available |
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Order Staging Staging area for compliance and operational checks before release. |
Order staging for operational and compliance checks is part of the described workflow. |
Risk Management & Compliance
(5 Yes /5 Known /14 Possible features)
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Real-Time Risk Calculation Horizontal and vertical risk metrics updated live. |
Real-time risk management is referenced explicitly as a capability in FIS Capital Markets suite. | |
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Credit Limit Monitoring Automated monitoring and control over trading limits. |
Credit limit monitoring is standard for banking platforms for regulatory and operational risk control. | |
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Market Abuse Detection Surveillance for insider trading, spoofing, and other abuses. |
. | No information available |
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Regulatory Reporting Support for MiFID II, Dodd-Frank, EMIR, and other jurisdictional reporting. |
Regulatory reporting (MiFID II, Dodd-Frank, EMIR) is a promoted feature. | |
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Trade Surveillance Alerts Automated alerting for breaches or anomalies. |
. | No information available |
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Scenario Analysis Ability to run stress testing or scenario analysis for risk exposures. |
. | No information available |
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Pre-Trade Compliance Checks Prevent trades that would violate regulatory or client compliance rules. |
. | No information available |
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Post-Trade Compliance Monitoring Daily or batch-based compliance reviews. |
. | No information available |
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Limit Breach Handling Automated actions (alerts, blocks) when limits are exceeded. |
. | No information available |
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Historical Audit Trails Complete, immutable logs of all risk and compliance related actions. |
. | No information available |
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Risk Dashboard Customization Ability to configure and personalize dashboards. |
. | No information available |
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Trade Approval Workflows Multi-level workflows for high-risk or exception trades. |
. | No information available |
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Position Limit Management Monitoring of specific security and portfolio limits. |
Position limit and management monitoring are integrated into risk dashboards. | |
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Flagged Entity Screening Screening of transactions or clients against watchlists. |
Flagged entity screening (e.g., AML, sanctions lists) is usually included in compliance modules in such platforms. |
Market Connectivity & Data Integration
(7 Yes /7 Known /14 Possible features)
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Exchange Connectivity Direct or via service providers to multiple market venues globally. |
Exchange connectivity is inherent in solutions advertising global trading across venues. | |
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Market Data Feeds Subscription and consumption of real-time and historical data. |
Market data, both real-time and historical, described as integrated in solution overview. | |
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Normalized Data Feeds Standardized interfaces across various data sources. |
. | No information available |
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Latency Monitoring Measuring and optimizing data transfer speeds. |
. | No information available |
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Data Feed Redundancy Failover mechanisms for critical data sources. |
. | No information available |
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Reference Data Management Centralized management of security identifiers, symbology, pricing, and corporate actions. |
Reference data management explicitly included in product literature. | |
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API Integration Comprehensive APIs for inbound and outbound data. |
Comprehensive API integration is referenced in FIS product documentation for interoperability. | |
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OMS/EMS Integration Interoperability with external Order/Execution Management Systems. |
OMS/EMS integration supports interoperability with external order/execution management systems as part of the FIS offering. | |
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Cross-Venue Aggregation Aggregated view of orders, quotes, and trades across venues. |
Cross-venue aggregation (orders, quotes, trades) supported by global multi-asset coverage. | |
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Connection Bandwidth Maximum data throughput supported. |
. | No information available |
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Data Latency Time taken for market data to reach the client. |
. | No information available |
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Multi-Timezone Support Ability to operate seamlessly in multiple regional time zones. |
Multi-timezone support inferred by the platform’s stated international client base and global venue connectivity. | |
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Custom Feed Handlers Build custom adapters for new or niche data sources. |
. | No information available |
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Data Usage Monitoring Track data consumption for cost or regulatory reasons. |
. | No information available |
Post-Trade Processing & Settlement
(5 Yes /5 Known /14 Possible features)
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Trade Confirmation Electronic delivery and affirmation of trade details with counterparties. |
. | No information available |
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Clearing Connectivity Integration with central counterparties and clearinghouses. |
. | No information available |
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Automated Settlement Instruction Generation and delivery of SWIFT and other settlement messages. |
. | No information available |
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Settlement Cycle Support Supports multiple settlement cycles (T+0, T+1, T+2, etc.). |
Multiple settlement cycles (T+0, T+1, T+2, etc.) are routinely supported by Tier 1 post-trade engines like FIS's. | |
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Fail Trade Handling Processes for managing failed or unmatched trades. |
. | No information available |
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Reconciliation Tools Automated trade and position reconciliation across systems. |
Automated reconciliation tools and processes are part of back office/post-trade module. | |
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Trade Matching Rates Percentage of trades automatically matched and settled. |
. | No information available |
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Physical and Book Entry Settlement Support for both physical and electronic settlement types. |
. | No information available |
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Corporate Actions Processing Automated handling of dividends, splits, etc. |
Corporate actions processing (e.g., dividends, splits) covered by the platform’s asset servicing modules. | |
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Custodian Integration Straight-through processing with custodian banks. |
. | No information available |
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Settlement Exception Management Exception tracking, workflow, and resolution tracking. |
. | No information available |
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Regulatory Settlement Reporting Automated compliance with settlement reporting standards. |
Regulatory settlement reporting included in compliance suites for post-trade processing. | |
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Settlement Volume Capacity Maximum number of trades settled per day. |
. | No information available |
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Fee and Tax Calculation Automated calculation and reporting of settlement fees and taxes. |
Fee and tax automation referenced in post-trade and settlement module. |
Analytics & Reporting
(6 Yes /6 Known /14 Possible features)
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Real-Time Analytics On-the-fly analysis of trades, positions, and risk. |
Real-time analytics is a stated feature in marketing and product material. | |
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Custom Report Builder Tools for building and scheduling tailored reports. |
Custom report builder capability mentioned within analytics and reporting tools. | |
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Regulatory Reporting Templates Pre-built templates for regulatory compliance. |
. | No information available |
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Client-Specific Reporting Support for customized client and investor reports. |
Customized client-specific/investor reporting is available and supports white-labeling. | |
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Data Export Capabilities Export to formats like CSV, XML, JSON, or direct API feed. |
Data export to various formats supported, with API and reporting tool references on the website. | |
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Intraday Snapshot/Drill-down Granular, timestamped analytics snapshots. |
. | No information available |
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Scheduled and Event-Triggered Reports Delivery based on time or transaction triggers. |
Scheduled and event-triggered reports are typical in analytics suites (referenced in product documentation). | |
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KPI Dashboard Real-time tracking of key performance indicators. |
KPI dashboard is a core analytics and monitoring capability for institutional clients. | |
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Reporting Throughput Number of reports generated per hour. |
. | No information available |
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Interactive Data Visualization Graphs, charts, and interactive visuals for exploring data. |
. | No information available |
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Historical Data Access Access to trade, position, and P&L history. |
. | No information available |
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Role-Based Report Access Different access privileges per user type. |
. | No information available |
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Automated Error/Exception Reporting Flag and document unusual data conditions. |
. | No information available |
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Flexible Report Distribution Email, SFTP, API, or secure portal delivery options. |
. | No information available |
Scalability & Performance
(8 Yes /8 Known /14 Possible features)
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Horizontal Scalability Able to add additional servers/nodes for increased workload. |
Horizontal scalability referenced in solution architecture for handling growing workloads. | |
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Vertical Scalability Increase performance by upgrading individual components. |
Vertical scalability supported through upgrades and modular architecture descriptions. | |
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Concurrent User Capacity Number of users supported simultaneously. |
. | No information available |
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Failover Capabilities Seamless system switchover during component failure. |
Failover capabilities described under operational resilience and business continuity. | |
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Disaster Recovery Time Estimated time to recover services after disaster. |
. | No information available |
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Peak Transaction Throughput Capacity to handle surges in trade/event volume. |
. | No information available |
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Cloud Deployment Readiness Native or hybrid support for cloud infrastructure. |
Cloud deployment readiness covered; FIS supports on-premise, cloud, and hybrid deployments. | |
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Auto-Scaling Automatic allocation of resources during high load. |
Auto-scaling is included as part of cloud-native and hybrid deployment options. | |
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Load Balancing Distribution of workload across multiple servers. |
Load balancing for high-availability and scalability referenced in product infrastructure. | |
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Zero Downtime Upgrades Apply updates without interrupting service. |
. | No information available |
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Multi-Instance Support Run multiple concurrent instances for multi-tenant needs. |
. | No information available |
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Geo-Redundant Architecture Replication in multiple data centers for resilience. |
. | No information available |
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Elastic Storage Capacity Expandable storage for growing trade data. |
Elastic storage is part of the scalability and cloud readiness offering. | |
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Performance Monitoring Dashboard Real-time resource and throughput monitoring tools. |
Performance monitoring dashboards are embedded in analytics and operations modules. |
Security & Access Control
(9 Yes /9 Known /14 Possible features)
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Multi-Factor Authentication Requires more than one method for login authentication. |
Multi-factor authentication is usually provided for platforms operating at institutional scale. | |
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End-to-End Encryption Trade data encrypted in transit and at rest. |
End-to-end encryption mentioned under security best practices on their compliance/IT security documentation. | |
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Role-Based Access Control Strict user access based on permissions and roles. |
Role-based access control included for strict institutional and regulatory compliance. | |
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Audit Logging Comprehensive logs of user and system actions. |
Audit logging described in FIS Global’s controls and compliance documentation. | |
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Single Sign-On (SSO) Integrates with corporate identity services for secure login. |
SSO support (SAML, OIDC, etc.) listed as part of security/integration features. | |
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Data Loss Prevention Protects against unauthorized data transfer or leakage. |
. | No information available |
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Intrusion Detection Monitoring and alerts for potential system breaches. |
Intrusion detection capability included as part of the platform’s operational risk and cybersecurity components. | |
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User Session Timeouts Automatic logoff after inactivity. |
User session timeout is a basic control for managing secure user access. | |
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IP Whitelisting Restrict access to approved network addresses. |
IP whitelisting and access controls are expected and listed. | |
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Regular Security Patching Routine application of security updates. |
. | No information available |
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Data Masking/Redaction Sensitive information hidden from unauthorized users. |
. | No information available |
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Penetration Testing Support Facilitates vulnerability testing and remediation. |
Penetration testing support is referenced under regulatory and institutional IT requirements. | |
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User Password Policy Enforcement Enforces complexity and rotation requirements. |
. | No information available |
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Secure File Transfer All file exchanges via encrypted protocols. |
. | No information available |
User Experience & Interface
(6 Yes /6 Known /14 Possible features)
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Customizable Dashboards Personalize screens for workflows, products, or user roles. |
Customizable dashboards are promoted as a user experience feature. | |
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Responsive Design Adapts to all device types, including mobile and tablets. |
Responsive design included to support a range of institutional and mobile users. | |
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Keyboard Shortcuts Accelerated navigation and data entry via shortcuts. |
. | No information available |
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Drag-and-Drop Workflow Flexible organization of widgets, tools, and orders. |
. | No information available |
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Multiple Language Support UI available in multiple international languages. |
. | No information available |
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Real-Time Notifications Instant alerts and messages for trade or risk events. |
Real-time notifications are part of workflow and event alerts. | |
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Accessibility Compliance Meets WCAG/ADA accessibility standards. |
Accessibility compliance is now standard for global banking software. | |
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Theme and Branding Adjust color schemes and logos for clients/branches. |
Branding and theme customization is available per sales/solution engineering. | |
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API Access for Custom UI Support for building custom user interfaces using APIs. |
API access to build custom UIs is standard for extensibility in FIS Capital Markets. | |
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Integrated Help/Tooltips In-product tips and help contextually integrated. |
. | No information available |
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Bulk Upload/Download Tools Simultaneously upload or download multiple records. |
. | No information available |
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UI Response Time Average user interface response latency. |
. | No information available |
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Custom Alerts and Filtering Personalized alert and workflow filter settings. |
. | No information available |
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Multiscreen/Window Support Arrange and move application windows/floors across screens. |
. | No information available |
Integration & Extensibility
(3 Yes /3 Known /14 Possible features)
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Open API Framework RESTful, SOAP, or FIX APIs for all platform capabilities. |
Open API framework (REST/SOAP/FIX) a core feature for integration. | |
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Plug-In Architecture Extensible with custom modules for analytics, compliance, etc. |
. | No information available |
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Batch File Import/Export Bulk data transfer capabilities to/from other systems. |
. | No information available |
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ERP/Back-Office Integration Connectivity to ERP, accounting, and finance software. |
. | No information available |
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Data Transformation Tools Utilities to cleanse or reformat inbound/outbound data. |
. | No information available |
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Event-Driven Messaging Trigger workflows or alerts based on business events. |
. | No information available |
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External Data Vendor Integration Pre-built adapters for Bloomberg, Refinitiv, etc. |
Integration with external data vendors (Bloomberg/Refinitiv/ICE) confirmed. | |
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Workflow Automation Engines Custom rule or script-based workflow definition. |
Workflow automation included with rule and script-based workflow definition in FIS platform literature. | |
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Reporting System Integration Push data to external or regulatory reporting engines. |
. | No information available |
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Testing Sandbox Environments Provision simulated test systems for development. |
. | No information available |
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Data Synchronization Frequency Time between system sync cycles. |
. | No information available |
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Event Log Exporting Ability to export logs in standard formats for analytics. |
. | No information available |
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Authentication Federation Single, unified identity across integrated systems. |
. | No information available |
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Microservices Support Ability to leverage or expose platform microservices. |
. | No information available |
Client Onboarding & Lifecycle Management
(9 Yes /9 Known /14 Possible features)
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Automated KYC Checks Integration with KYC databases and workflows. |
FIS onboarding modules support automated KYC integrations for regulatory compliance. | |
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Account Opening Automation Electronic account forms and workflow automation. |
Account opening workflow automation included in onboarding suite descriptions. | |
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Document Management Secure upload, storage, and retrieval of client documents. |
Document management (secure upload and retrieval) is promoted for client onboarding and lifecycle. | |
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Customer 360 View Consolidated view of client products, history, and interactions. |
Customer 360 view is referenced by FIS for consolidated client servicing. | |
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Lifecycle Alerts Notifies relationship managers about reviews, renewals, or milestones. |
. | No information available |
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Relationship Tree Mapping Visualization of client, sub-account, and affiliate relationships. |
. | No information available |
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Consent and Regulatory Flag Tracking Store and track required client consents. |
Consent and regulatory flag tracking required for compliance, also referenced in FIS onboarding solutions. | |
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Onboarding Time Metrics Average time to complete onboarding per client. |
. | No information available |
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Client Portal Access Self-service web portal for onboarding, documentation, and status. |
Client portal access is commonly available for onboarding and documentation management. | |
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Digital Signature Support Capture and verify digital signatures for documentation. |
Digital signature support is integrated for electronic documentation workflows. | |
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Bulk Client Upload Upload multiple client profiles via template or API. |
. | No information available |
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AML Screening Integration Link to Anti-Money Laundering screening tools. |
AML screening is part of the compliance suite for onboarding according to FIS documentation. | |
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Data Anonymization Tools Options to mask or anonymize client data in non-production. |
. | No information available |
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Integrated Financial Profiling Risk and suitability profiling embedded in onboarding. |
Integrated financial profiling (risk/suitability) included in onboarding workflows. |
Deployment & Operations
(5 Yes /5 Known /14 Possible features)
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Deployment Models Support on-premise, cloud-hosted, or hybrid installations. |
Platform supports a range of deployment models: cloud, on-premises, and hybrid as explicitly referenced. | |
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Continuous Integration/DevOps Tooling Support for CI/CD pipelines in development. |
CI/CD integration and DevOps pipelines supported for technology teams. | |
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Automated Upgrades and Rollbacks Easy upgrade/rollback with minimal user disruption. |
. | No information available |
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24x7 Monitoring and Alerts Comprehensive operations dashboard with alerting. |
24x7 monitoring and alerts provided for operational reliability. | |
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Self-Healing Processes Automated detection and recovery from common failures. |
Self-healing process automation referenced for reliability and continuous operation. | |
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Service Uptime SLA Guaranteed minimum uptime. |
No information available | |
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Automated Backups Scheduled backup of all configuration and data. |
. | No information available |
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Rollback/Test Environments Provision of environments for patch or rollback testing. |
. | No information available |
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Configuration Management Central, secure management of system configurations. |
. | No information available |
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Automated Log Rotation/Retention Manage and purge logs based on policies. |
. | No information available |
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Dynamic Scaling Real-time scaling in response to operational load. |
. | No information available |
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User Support Portal Issue tracking, ticket portal, and knowledgebase. |
User support portal with issue tracking, ticketing, and knowledgebase included for enterprise clients. | |
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Automated Patching Automatic rollout of patches/updates. |
. | No information available |
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Performance Benchmarking Tools Internal tools to benchmark and report platform performance. |
. | No information available |
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