GDPR · MiFID II · Basel III · FRTB · SOX

Capital Markets

Capital markets governance documentation aligned with MiFID II, Basel III, FRTB, SOX financial reporting, and market data regulatory requirements.

About This Sector

Capital markets institutions operate under some of the most demanding regulatory documentation requirements in financial services. Basel III/IV capital adequacy documentation, FRTB model documentation requirements, MiFID II transaction reporting, and SOX internal controls create a documentation environment where accuracy and auditability are non-negotiable. ELDR Institute resources in this domain are grounded in FRTB methodology documentation work at HSBC.

Primary Standards
GDPR
MiFID II
Basel III
FRTB
SOX
Institute Resources

Primary resources
for capital markets practitioners.

FRTB Model Documentation
Fundamental Review of the Trading Book methodology documentation — model descriptions, assumptions, validation evidence, and regulator-facing submission materials.
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SOX Internal Controls Documentation
Sarbanes-Oxley ITGC and application control documentation for capital markets technology — PCAOB-aligned control descriptions and testing evidence.
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GDPR for Capital Markets
GDPR compliance documentation for capital markets institutions — investor and counterparty data processing frameworks, cross-border transfer mechanisms, and retention schedules.
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Regulatory Reporting Documentation
Documentation frameworks for MiFID II, EMIR, and other regulatory reporting obligations — data lineage documentation, report validation procedures, and regulatory change management.
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ELDR Advisory

Documentation that holds up
under examination.

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