Capital Markets — Buy-Side & Sell-Side

Institutional client 360 built for books-and-records discipline.

Buy-side CRMs fragmented across research, trading, and sales. Sell-side corporate access tracked in email. Compliance surveillance fighting false positives while real signal slips through. Teqfocus unifies institutional client 360, research distribution, and surveillance on Salesforce Financial Services Cloud + Snowflake — integrated with Charles River, Aladdin, Bloomberg AIM, and FactSet.

Book a Capital Market Review
What we fix

Four problems on buy-side and sell-side desks.

Research, trading, sales, and prime services each keep their own client notes.

Institutional client view in silos

Research, trading, sales, and prime services each keep their own client notes.

Research monetization attribution

MiFID II is mostly behind us, but attribution — who read what.

Surveillance alert fatigue

Communications, trading, and customer interaction surveillance throws more alerts than analysts can triage.

Books-and-records sprawl

SEC 17a-4 and FINRA 4511 obligations stretched across emails, chats, CRM notes.

Agentforce patterns — capital markets

Three agents for the institutional business.

Role-scoped for the trading floor and the compliance desk. Grounded on governed data.

Research & corporate access agent

Matches institutional clients to relevant research, analyst access.

Compliance surveillance co-pilot

Helps surveillance analysts triage alerts across communications, trading, and customer interactions — SEC, FINRA.

Institutional RM brief agent

Unified view across research, trading, prime, and corporate events for institutional salespeople.

The Capital Markets Reference Architecture

Four layers. Built for institutional business.

A governed architecture that unifies client, trading, research, and surveillance data while enabling AI-powered workflows, regulatory compliance, and institutional client engagement.

04

Agent Layer

Agentforce Einstein Databricks

AI-powered agents for research matching, surveillance triage, relationship management, and institutional client servicing.

03

Application Layer

Financial Services Cloud Experience Cloud Salesforce CRM

Institutional CRM, research distribution, corporate access management, client engagement, and secure investor portals.

02

Integration Layer

MuleSoft FIX Charles River Aladdin Bloomberg AIM FactSet

Secure integration across OMS, PMS, trading platforms, market data providers, and enterprise applications.

01

Data Layer

Snowflake Financial Services Data Cloud

Governed client, trading, research, surveillance, portfolio, and market data supporting analytics, compliance, and AI.

Why Teqfocus for capital markets

Four reasons capital markets CIOs pick us.

We configure FSC for the institutional relationship model — coverage teams, research, trading.

FSC for institutional, not just wealth

We configure FSC for the institutional relationship model — coverage teams, research, trading.

Vendor-system depth

Integration patterns for Charles River, Aladdin, Bloomberg AIM.

Surveillance ML with SR 11-7 rigor

Every ML model used in surveillance or trading ships with model risk documentation.

Books-and-records discipline

We design every system and agent with SEC 17a-4 and FINRA 4511 retention, supervision, and audit in mind.

Our Partners

Trusted by Global Technology Leaders

Delivering cloud, data, AI, and digital transformation solutions through strategic partnerships and proven execution.

Salesforce
  • Salesforce Summit Consulting Partner
  • 1,000+ Customer Success Stories
  • 200+ Salesforce Certified Experts
  • 100+ Industry Accelerators
claude
  • Clauude Partner Network
  • Claude-powered agents in production across regulated industries
  • 40+ enterprise Agentforce deployments grounded on Claude
  • Teqfocus runs on Claude — we are our own first client
AWS
  • AWS Advanced Consulting Partner
  • 150+ Active AWS Engagements
  • 50+ Skilled Practitioners & Cloud Engineers
  • Data & Analytics Competency + 6 Designations
Snowflake
  • Snowflake Services Partner
  • Expertise in Data Lake to Snowflake
  • 50+ Customers across key industries
  • 20+ SnowPro Certified Experts

Ready To Modernize Your Institutional Client Platform?

A 45-minute call with a Teqfocus capital markets lead. Bring your desk priorities, vendor stack, and surveillance posture.

FAQ

What capital markets leaders ask us.

Which buy-side and sell-side systems have you integrated?
Charles River, Aladdin, Bloomberg AIM, FactSet, and custom OMS/PMS platforms. We also handle FIX, SWIFT, and internal books-and-records pipelines with message-level audit.
How do you approach Agentforce in regulated trading and research workflows?
Human sign-off on every regulated output, books-and-records capture on every interaction. Agents augment research matching, surveillance triage, and salesperson prep — not unattended decisioning. Every output is retained per SEC 17a-4 and FINRA 4511.
How do you handle SEC 17a-4 and FINRA 4511 retention?
Retention is architected into the system, not patched at the end. We configure WORM-compliant archive patterns for regulated records, design supervision review workflows into FSC, and document chain of custody for every examiner request.
How fast to a first production capital markets outcome?
12 to 18 weeks for an institutional FSC build on one desk or LOB. 8 to 12 weeks for an Agentforce research-matching or surveillance co-pilot pattern on an existing FSC environment. Compliance review effort is scoped up front.
Do you have named capital markets references?
Yes — under MSA for qualified opportunities. Typically 2 references matched to buy-side or sell-side, firm size, and the specific workflow (research, surveillance, coverage, or operations).
© 2026 Teqfocus. All Rights Reserved