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Capital Markets, Asset Management & Trading

Contain MNPI and prove every action at the browser

Analysts, PMs and traders live across market-data terminals, OMS/EMS, CRM, data rooms and increasingly AI research tools all day. Mira contains material non-public information, enforces desk-level information barriers, governs every data movement, and streams surveillance-grade audit — across every terminal and data room, without slowing the desk.

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MNPI
Containment and desk-level information barriers
17a-4
Recordkeeping-grade metadata audit to SIEM
Every
Download, paste & AI read governed and logged
VDI→0
Replace costly analyst VDI with a governed browser
The problem

Where capital-markets workflows leak risk

MNPI crosses deal teams and devices, off-channel communications draw costly enforcement, and analysts want AI on filings and CIMs they can't risk leaking — while compliance must prove information barriers and recordkeeping.

MNPI & information barriers

Material non-public information crosses deal teams, strategies and devices with no browser-level containment or barrier enforcement between groups.

Off-channel & recordkeeping

SEC Rule 17a-4 / FINRA 4511 recordkeeping and the off-channel-communications sweep make unprovable browser and AI activity a costly liability.

Data-room & IP exfiltration

Filings, 10-Qs, CIMs and portfolio data are copied into spreadsheets, downloads and AI tools with no DLP or audit trail.

How Mira helps

Contain MNPI without slowing the desk

Mira makes the browser the control point: information barriers by deal and strategy, DLP on every data movement, and AI that extracts from filings and CIMs without exfiltrating sensitive context — with surveillance-grade audit.

  • Desk-level information barriers (ABAC)Scope app and data access by desk, deal, strategy and entitlement — central locks stop barriers from being loosened between groups.
  • DLP on data movementPositions, holdings, MNPI and portfolio data are detected and governed across downloads, uploads, clipboard and AI reads.
  • Governed analyst AIExtract and compare figures from filings, 10-Qs and CIMs — with sensitive fields redacted and a no-send gate that can block MNPI from any model call.
  • Surveillance-grade auditMetadata-first records of access and action stream to your SIEM and communications-surveillance tooling for recordkeeping.
Capabilities

Capabilities for capital markets & asset management

Terminal & OMS/EMS workspaces

Role-tuned workspaces across market-data terminals, OMS/EMS, CRM, research and data rooms.

MNPI & information barriers

Detect and contain material non-public information and enforce barriers by desk, deal and strategy.

Positions & IP DLP

Govern holdings, portfolio data and deal IP across downloads, uploads, clipboard and AI reads.

Surveillance audit

Metadata-first audit and SIEM / comms-surveillance streaming aligned to 17a-4 / 4511 recordkeeping.

Governed analyst AI

Summarize, compare and extract from filings, 10-Qs and CIMs under policy, with provenance and a no-send gate.

ZTNA for analysts & PE/VC

Identity-bound access to data rooms and portfolio-company portals for remote analysts and deal teams — without VPN.

Use cases

Front office to compliance

AI assistance and hard controls across research, trading and deal workflows.

  • Research & filings analysisExtract and compare figures from filings and CIMs into structured outputs, with sources attached and MNPI contained.
  • Deal-team information barriersScope access by deal and strategy with central locks, so MNPI stays inside the wall — every decision audited.
  • Data-room & portfolio accessGive PE/VC deal teams and remote PMs secure, audited access to data rooms and portfolio-company portals from BYOD.
  • Surveillance & recordkeepingStream metadata audit of browser and AI activity to your surveillance tooling for 17a-4 / 4511 obligations.
Approved workspaces & integrations

Trusted apps for this role

Market data terminalsOMS / EMS platformsMajor CRM systemsVirtual data roomsResearch & filings portalsE-signature platformsCommon enterprise SaaSCustom internal apps
Compliance & controls

Mapped to your obligations

SEC Rule 17a-4 / 17a-3FINRA Rule 4511MNPI information barriersMiFID II (EU)SEC Marketing Rule · Reg S-PDORA (EU)SOC 2SSO · MFA · SCIM
FAQ

Questions for Capital Markets teams

Can Mira enforce information barriers between deal teams?
Yes. ABAC policy scopes app and data access by desk, deal and strategy, and central locks prevent lower-level admins or users from loosening barriers — with every decision audited.
How does Mira help with recordkeeping and surveillance?
Audit is metadata-first — decision, actor, route, capability, domain and timestamp — and streams to your SIEM and communications-surveillance tooling for SEC Rule 17a-4 and FINRA Rule 4511 obligations, without storing raw prompts or page content by default.
Can analysts use AI on filings without leaking MNPI?
Yes, under policy. Sensitive fields are detected and redacted before any provider call, a no-send gate can block MNPI from any model call entirely, and the visible-context inspector shows exactly what the model receives.

Contain MNPI at the browser, not after the breach

See Mira govern MNPI, positions and every data movement across your terminals and data rooms — with surveillance-ready audit your examiners will accept.

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