Regulatory compliance, finally simplified
KYC, AML, MiFID, internal controls: the entire compliance chain natively embedded in every step of the investor journey.
Four pillars of compliance
Each regulatory building block is natively integrated into the platform. No patches, no external modules: compliance is part of the product.
RTO & placement
Every subscription order is received, verified and transmitted within a rigorous MiFID framework. We ensure end-to-end traceability and produce the associated regulatory reporting.
KYC / KYB
The verification workflow is fully digitalised: document collection, beneficial owner identification and risk scoring. Files are periodically updated to maintain ongoing compliance.
AML / TRACFIN
Our algorithms screen in real time against international sanctions lists (asset freezing, PEPs) and detect atypical transactions. Alerts are handled by our compliance team, and TRACFIN declarations are filed without delay.
Internal controls
A permanent and periodic control framework compliant with ACPR requirements. Every decision is traced, every anomaly documented. The annual control plan is delivered with a complete audit trail.
Compliance as a competitive advantage
ACPR-licensed ISP
Our Investment Services Provider licence guarantees a controlled regulatory framework for every operation. You benefit from compliant infrastructure without having to build it yourself.
Integrated, not bolted on
Compliance is not a module added after the fact: it is woven into every step of the investor journey, from onboarding to subscription, from tracking to reporting. Zero friction, zero disruption.
Continuously updated
Our regulatory team continuously monitors legislative developments — MiFID, AML, DORA — and updates systems on an ongoing basis, without any action required on your part.
System details
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Identity verification (KYC)
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Real-time screening against international sanctions lists
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Automatic detection of atypical transactions and alerts
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Complaints register and compliant processing
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Regulatory reporting: ACPR, AMF, TRACFIN
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Complete audit trail and traceability of every decision
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Annual control plan with documented deliverables
Frequently asked questions
Caption manages all compliance: MiFID documentation, KYC/KYB (identity verification), AML (anti-money laundering), TRACFIN declarations, internal controls and product governance. You stay focused on your business.
The KYC workflow is fully digitalised and customisable by asset type. Identity verification, proof of address, source of funds and investor categorisation: everything is automated with real-time controls.
Yes. As an ACPR-licensed ISP, Caption meets all MiFID requirements: cost transparency, product governance and regulatory reporting.
KYD (Know Your Distributor) is the process of verifying distribution partners (IFAs, financial advisors). Caption verifies their authorisations, professional status and compliance before integrating them into the distribution network.
Caption manages suspicious transaction reports to TRACFIN in accordance with AML obligations. Our compliance team monitors operations, identifies atypical transactions and files required declarations.
Yes. All compliance services (KYC, KYB, KYD, AML, MiFID documentation, internal controls) are included in Caption Services pricing. No additional cost for regulatory compliance.
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Let's talk compliance
Let's discuss your regulatory challenges. Our team will help you secure and simplify your operations.