Bloomberg Compliance Manager from Bloomberg

A comprehensive compliance solution that helps investment management firms manage regulatory obligations. Features include trade surveillance, compliance testing, regulatory reporting, personal trading oversight, and documentation management. Fully integrated with Bloomberg's data and trading solutions.

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Product analysis by function

Regulatory Compliance Systems for Risk & Compliance

Platforms that track regulatory requirements, manage compliance workflows, and document adherence to various financial regulations such as UCITS, AIFMD, MiFID II, SEC rules, and other jurisdictional requirements.
More Regulatory Compliance Systems More Risk & Compliance ...

Core Compliance Monitoring
(0 Yes /0 Known /10 Possible features)

Reporting & Documentation
(0 Yes /0 Known /10 Possible features)

Data Integration & Management
(0 Yes /0 Known /10 Possible features)

User & Workflow Management
(0 Yes /0 Known /10 Possible features)

Regulatory Change Management
(0 Yes /0 Known /10 Possible features)

Risk Assessment & Management
(0 Yes /0 Known /10 Possible features)

Surveillance & Transaction Monitoring
(0 Yes /0 Known /10 Possible features)

Integration & Connectivity
(0 Yes /0 Known /10 Possible features)

Usability & User Experience
(0 Yes /0 Known /10 Possible features)

Security & Privacy
(0 Yes /0 Known /10 Possible features)

Scalability & Performance
(0 Yes /0 Known /10 Possible features)

Compliance Monitoring Tools for Compliance and Governance

Systems that continuously monitor operations against regulatory requirements and internal policies, providing alerts for potential compliance issues and maintaining audit trails of compliance activities.
More Compliance Monitoring Tools More Compliance and Governance ...

Real-Time Regulatory Compliance Checks
(8 Yes /8 Known /10 Possible features)

Alerting and Notification
(7 Yes /7 Known /10 Possible features)

Audit Trail and Logging
(5 Yes /5 Known /9 Possible features)

Regulatory Reporting
(8 Yes /8 Known /9 Possible features)

Policy Management
(8 Yes /8 Known /9 Possible features)

User Access & Permissions
(7 Yes /7 Known /8 Possible features)

Data Security & Privacy Compliance
(7 Yes /7 Known /8 Possible features)

Integration & Interoperability
(7 Yes /7 Known /8 Possible features)

Dashboard & Analytics
(7 Yes /7 Known /8 Possible features)

Testing, Training & Change Management
(7 Yes /7 Known /8 Possible features)

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Automated Rule Monitoring Automated checks of fund operations against current regulatory rules.		No information available
Audit Trail Generation Maintains comprehensive logs of all compliance activities and policy changes.		No information available
Real-Time Alerts Notifies users instantly when potential compliance breaches occur.		No information available
Custom Rule Configuration Allows creation and maintenance of firm-specific rules in addition to regulatory ones.		No information available
Pre-Trade Compliance Checks Verifies trade compliance prior to execution.		No information available
Post-Trade Compliance Checks Analyzes executed trades for post-factum regulatory compliance.		No information available
Regulatory Change Updates System is updated with changes and interpretations of relevant regulations.		No information available
Violation Escalation Workflow Automated workflows for managing responses to potential or actual compliance violations.		No information available
Exception Management Tools for identifying, documenting, and resolving compliance exceptions.		No information available
Compliance Dashboard Centralized dashboard summarizing current compliance status and outstanding issues.		No information available

Automated Regulatory Reporting Generates and files reports required by relevant authorities (e.g., SEC, ESMA, FCA).		No information available
Custom Report Generation Flexible tools to create reports tailored to internal or external stakeholder needs.		No information available
Scheduled Reporting Automated scheduling and delivery of reports.		No information available
Document Archiving Secure and searchable storage of compliance documents and evidence.		No information available
Self-Service Reporting Allows end-users to generate and customize reports without IT involvement.		No information available
Audit-Ready Documentation Organizes and formats documentation for easy retrieval during audits.		No information available
Data Export Exports data in a variety of industry-standard formats (e.g., CSV, XML, XBRL).		No information available
Workflow Audit Logs Preserves historical records of reporting activities and user access.		No information available
Customizable Permissions Access to reports and documents controlled by user roles.		No information available
Regulation-Specific Templates Pre-built reporting templates for key regulations (AIFMD, Form PF, MiFID II, etc).		No information available

Multi-Source Data Feeds Integrates with custodians, trading systems, market data, and third-party risk services.		No information available
Data Normalization Transforms disparate data sets into a common format for analysis.		No information available
Real-Time Data Processing Processes incoming data in near real time for the most current insights.		No information available
Data Quality Checks Validates incoming data for completeness and accuracy before use.		No information available
Automated Data Reconciliation Cross-checks transaction and position records to spot discrepancies.		No information available
Bulk Data Upload Supports batch imports for large data sets (e.g., historical records).		No information available
API Connectivity Modern API support for seamless integration with other applications.		No information available
Flexible File Import/Export Handles multiple file types for interoperability with legacy systems.		No information available
Data Encryption in Transit Ensures sensitive compliance data is encrypted during network transfers.		No information available
Data Encryption at Rest Securely encrypts stored regulatory and compliance information.		No information available

Role-Based Access Control Assigns user permissions based on job function or seniority.		No information available
Multi-Factor Authentication Layered security for user login and system access.		No information available
User Activity Monitoring Tracks and audits user activity to prevent unauthorized changes.		No information available
Workflow Automation Automates routine compliance tasks and approval processes.		No information available
Delegation & Escalation Automated reassignment of tasks due to absence or escalation due to time-sensitive issues.		No information available
Task Notifications Automated alerts and to-do reminders for compliance staff.		No information available
Bulk User Management Efficient onboarding/offboarding and permissions management for multiple users.		No information available
Custom Workflow Builder Admins can configure or adapt workflow steps to fit internal compliance procedures.		No information available
SLA Tracking Monitors task turnaround against internal and regulatory deadlines.		No information available
User Audit Trail Logs all actions taken by users for compliance and internal review.		No information available

Regulatory News Feed Automatically imports latest regulatory updates from trusted sources.		No information available
Impact Assessment Tools Maps regulatory changes to impacted policies, controls, and business lines.		No information available
Change Task Assignment Creates and assigns tasks related to implementing regulatory changes.		No information available
Policy Update Workflow Managed workflows for revising and approving compliance policies.		No information available
Version Control Tracks changes to compliance manuals and regulatory documents.		No information available
Change Communication Automated alerts and updates to all users affected by policy changes.		No information available
Regulator Correspondence Tracking Stores and manages communication with regulators regarding rule changes.		No information available
Gap Analysis Tools Identifies and analyzes areas where current processes may be non-compliant with new regulations.		No information available
Automatic Rulebase Update System automatically updates compliance monitoring based on regulatory changes.		No information available
Regulatory Calendar Timelines for key regulatory change deadlines and milestones.		No information available

Risk Scoring Engine Calculates risk scores based on current regulatory and operational exposure.		No information available
Risk Heatmaps Visualizes areas of highest compliance and operational risk.		No information available
Scenario Analysis Assesses impact of hypothetical compliance breaches or regulatory changes.		No information available
KRI Monitoring Tracks Key Risk Indicators defined within the risk management framework.		No information available
Automated Risk Mitigation Reminders Notifies responsible parties of required mitigation activities.		No information available
Incident & Loss Event Logging Captures details of compliance or operational risk events and remediation.		No information available
Risk Control Library Central repository for standard controls and their effectiveness assessments.		No information available
Linkage of Controls to Regulations Maps internal controls to regulatory obligations for better gap detection.		No information available
Risk Mitigation Workflow Structured processes for investigating and closing out identified risks.		No information available
Periodic Risk Review Scheduling Plans recurring reviews and updates to risk assessments.		No information available

Trade Surveillance Monitors trades for potential market abuse, manipulation, or limit breaches.		No information available
AML Screening Automated screening for Anti-Money Laundering (AML) flags in fund flows and counterparties.		No information available
Watchlist & PEP Screening Cross-checks parties against global watchlists and Politically Exposed Person (PEP) databases.		No information available
Insider Trading Detection Identifies patterns and suspicious activity suggesting insider trading.		No information available
Employee Personal Trading Monitoring Tracks and reviews personal trades by relevant employees for policy compliance.		No information available
Threshold and Limit Monitoring Flags trades and positions exceeding predefined compliance limits.		No information available
Pattern Recognition Machine-learning based detection of unusual or anomalous patterns in transactions.		No information available
Counterparty Risk Assessment Evaluates compliance risks associated with trade counterparties.		No information available
Transaction Velocity Monitoring Tracks frequency and volume of transactions.		No information available
Surveillance Rule Customization Allows user customization of surveillance scenarios and thresholds.		No information available

Portfolio Management System Integration Seamless data import/export with PMS, OMS, or accounting platforms.		No information available
Custodian and Prime Broker Integration Direct data feeds from banks and prime brokers for up-to-date positions and transactions.		No information available
Regulator Portal Submission Direct, automated submission to regulatory portals (e.g., SEC EDGAR).		No information available
Third-Party API Support Robust API ecosystem for integration with regtech or analytics tools.		No information available
SFTP/FTP Data Transfer Secure file transfer for batch data loads and reporting.		No information available
Single Sign-On (SSO) Integration with enterprise SSO solutions for seamless authentication.		No information available
Webhook Support Real-time notifications and data pushes to other applications.		No information available
Message Queue Connectivity Support for message queue protocols (e.g., Kafka, RabbitMQ) for large-scale events.		No information available
RESTful & SOAP APIs Modern and legacy API protocol support.		No information available
Custom Integration Development Toolkit SDK and documentation for developing custom system connectors.		No information available

Intuitive User Interface Modern UI simplifies complex compliance scenarios for all users.		No information available
Responsive Design Works across desktop, tablet, and mobile devices.		No information available
Customizable Dashboards Users can tailor home screens to their functional requirements.		No information available
Search & Filter Functionality Powerful search and filtering for large compliance datasets.		No information available
Role-Based Views Interface elements visible or hidden according to user role.		No information available
Localization & Multilingual Support Usable by global teams in multiple languages.		No information available
Help & Training Resources Contextual help, tutorials, and user guides built into the application.		No information available
Onboarding Wizard Guided setup process for new users or teams.		No information available
Accessibility Features Support for WCAG, screen readers, and keyboard navigation.		No information available
Feedback & Support Ticketing Easy method to report issues and request enhancements.		No information available

Data Encryption (At Rest and In Transit) AES, TLS, or equivalent encryption for compliance datasets.		No information available
Granular Access Controls Permissions at data, action, and record levels.		No information available
Audit Logging Immutable logs of all system activity.		No information available
Security Incident Notification Alert system for detected security breaches.		No information available
Data Retention Controls Configurable settings for how long sensitive information is stored.		No information available
GDPR/CCPA Compliance Tools Mechanisms to support global data privacy regulations.		No information available
User Authentication Options Choice of password, token, or biometric login.		No information available
Penetration Testing Certification Third-party security testing on a regular basis.		No information available
Advanced Threat Detection AI or signature-based recognition of malicious activity.		No information available
Data Masking Hides sensitive data when not absolutely necessary for user role.		No information available

Concurrent User Support Handles simultaneous logins and usage by multiple compliance staff.		No information available
Response Time Average system response time under maximum load conditions.		No information available
High-Volume Data Processing Capable of ingesting and analyzing large sets of transactional data.		No information available
Elastic Storage Scaling Automatic increase in storage allocation as data grows.		No information available
Load Balancing Distributes workload efficiently across servers.		No information available
Disaster Recovery Ability to recover compliance data and settings after critical failure.		No information available
Cloud and On-Premise Support Supports both deployment models, as needed by the organization.		No information available
Scheduled Downtime Notifications Advanced notice and minimal disruption during system maintenance.		No information available
Redundancy & Failover Backup mechanisms to maintain service during system outages.		No information available
Uptime Guarantee SLA-based assurance of system availability.		No information available

Automated Rule Engine A configurable engine that checks activities and transactions against current regulations.		Bloomberg Compliance Manager delivers automated nightly and real-time surveillance, indicating use of an automated rule engine.
Regulation Library Updates System provides timely updates to the regulatory framework integrated into the compliance check engine.		Bloomberg monitors regulatory changes and routinely updates its platform. System provides regulatory library updates.
Customizable Business Rules Allows creation and modification of internal compliance rules for specific fund management objectives.		Solution advertises customizable compliance rules for specific objectives.
Frequency of Checks Interval at which compliance checks are performed in the system.		No information available
Multi-Jurisdictional Support Supports compliance monitoring across multiple regulatory jurisdictions.		Bloomberg serves global clients and supports cross-jurisdictional compliance.
Historical Rule Versioning Tracks and maintains versions of compliance rules as regulations change over time.		Tracks and applies previous rule versions as regulations evolve.
Granular Exception Handling Ability to set threshold-based alerts and manage exceptions at detailed levels.		Supports threshold-based alerts and granular exception handling.
Scenario Testing Simulates fund activities to test compliance with anticipated regulatory changes.		Includes scenario/simulation testing for new regulations.
Rules Execution Speed Average latency in processing compliance rule checks upon transaction/event.		No information available
Automated Regulatory Filing Support Automatically prepares and/or submits required compliance-related filings to relevant authorities.		Automatically generates and submits regulatory filings.

Custom Alert Thresholds Administrators can define alert sensitivity and escalation paths.		Alert thresholds are configurable by administrators.
Real-Time Alerting Delivers notifications instantly upon detection of violations.		Real-time alerting and notifications are part of core features.
Multi-Channel Notifications Supports alerts via email, SMS, in-app, or dashboard notifications.		Supports multiple notification channels including dashboard and email.
Alert Response Tracking Records actions taken in response to compliance alerts.		Tracks alert response actions in audit trails.
Notification Time to User Average time from breach detection to notification delivery.		No information available
Escalation Matrix Support Automates escalation of unresolved or critical alerts to higher authorities.		Automated escalation and workflow for violations described.
Alert Customization Level Degree to which alerts can be tailored by user or event type.		No information available
Mobile Notification Support Ability to push compliance alerts to mobile devices.		Mobile notifications supported via Bloomberg app alerts.
Comprehensive Audit of Alerts Maintains a history log of all alerts, notifications sent, and responses.		History of alerts, notifications, and responses can be audited.
False Positive Rate Proportion of alerts triggered incorrectly.		No information available

Immutable Audit Logs Logs are secured from alteration, ensuring an accurate record of compliance activities.		Compliance audit logs are immutable and secured.
Granularity of Logging Level of detail recorded in compliance logs.		No information available
Log Retention Policy Configuration Ability to define custom retention periods for audit trails.		Retention period for compliance/audit logs can be configured.
User Activity Tracking Monitors individual actions within compliance systems for accountability.		User activity tracked for compliance accountability.
Timestamp Accuracy Degree of precision in log timestamps.		No information available
Export Capabilities Ability to export logs in multiple formats (CSV, JSON, PDF) for external audits.		Compliance logs can be exported in multiple standard formats.
Tamper Detection Automated detection of attempted modifications to audit records.		No information available
Segregation of Duties Monitoring Tracks and enforces separation between compliance tasks to mitigate risk.		Tracks and enforces segregation of compliance duties.
Automated Log Archiving Scheduled archiving of older audit logs for storage optimization.		No information available

Pre-Built Regulatory Templates Offers templates for common regulatory reports required by pension fund agencies.		Standard regulatory templates and compliance reports are included.
Custom Report Builder Allows bespoke report creation based on internal or emerging requirements.		Custom regulatory report builder available.
Scheduled Report Generation Supports automatic report creation on predefined schedules.		Scheduled (automated) report generation is a feature.
Regulatory Filing Formats Supported Number of supported output formats (e.g., XBRL, PDF, XML).		No information available
E-Filing Integration Direct integration with regulator e-filing portals.		Direct e-filing to regulators, integration with required portals.
Submission Error Detection Identifies and highlights possible errors or omissions prior to regulatory submission.		Pre-submission checks for regulatory reporting, error highlighting.
Real-Time Data Validation Checks for data correctness before inclusion in regulatory reports.		Performs real-time validation for compliance data/reporting.
Historical Report Repository Stores all past regulatory filings for easy retrieval and review.		Stores and retrieves historical regulatory filings.
Automated Change Logs for Reports Maintains records of edits to regulatory reports prior to submission.		Tracks changes and maintains logs of edits for regulatory reports.

Central Policy Repository A centralized and secure platform for all compliance policies.		Centralized repository for all compliance policies and rules.
Version Control Tracks changes and maintains previous versions of policies.		Tracks and logs all policy changes/versioning.
Automated Enforcement of Policies Automatically applies internal policy rules to operational workflows.		Automated enforcement of compliance policies in workflows.
Policy Acknowledgement Tracking Monitors and records acknowledgment of policy reviews by staff.		Tracks staff acknowledgement of policy reviews.
Policy Review Reminders Automated notifications to review and update policies periodically.		Automated reminders for periodic review and updating of policies.
Policy Coverage Scope Number of functional areas (e.g., trading, reporting, HR) governed by policies.		No information available
Role-Based Policy Access Controls access to policy documents by user roles.		Role-based control for policy access.
Audit Trail of Policy Changes Logs all modifications made to policies.		Complete audit trails of policy document changes.
Search and Retrieval Full-text search within all compliance policies.		Compliance policy full-text search and retrieval.

Role-Based Access Control Enforces permissions and restrictions based on user roles.		Role-based user access and permission controls available.
Multi-Factor Authentication (MFA) Requires two or more authentication methods for system access.		MFA supported for Bloomberg Professional and Compliance Manager.
Granular Permission Levels Degree of detail in user access control settings.		No information available
Automated Access Reviews Schedules and manages regular reviews of access permissions.		Automates periodic permission/access reviews for compliance.
Access Log Tracking Maintains comprehensive logs of user login and activity.		Tracks user and login activities as part of compliance logs.
Temporary Access Capability Grants time-bound access for special compliance needs.		Product supports granting temporary/time-bound access for compliance activities.
Segregation of Duties Enforcement Automatically prevents assignment of incompatible roles.		Prevents incompatible role assignments in compliance software.
Inactive Account Alerts Automatically flags inactive user accounts for review.		Flags and reviews inactive accounts automatically.

Data Encryption At Rest Encrypts sensitive data stored in the system.		Data is encrypted at rest as part of Bloomberg's security protocols.
Data Encryption In Transit Protects data as it moves across networks.		Data is encrypted in transit between systems/users.
Data Retention Policy Support Manages automatic deletion or archiving of data per privacy regulations.		Manages automatic deletion or archiving for privacy regulations (GDPR, CCPA, etc).
PII (Personal Identifiable Information) Detection Automatically identifies and flags storage of PII within compliance records.		No information available
GDPR/CCPA Configuration Built-in support for configuring compliance with major privacy laws.		Supports GDPR/CCPA configuration features.
Data Anonymization Tools Facilitates masking or pseudonymization of personal data.		Anonymization and pseudonymization tools are included.
Security Event Monitoring Continuous monitoring of system access and data changes for security threats.		System event/security monitoring available as part of platform.
Data Breach Response Workflow Pre-defined steps and notification process in case of detected data breach.		Pre-defined data breach notification workflows are included.

API Availability Public and documented APIs for integration with third-party applications.		Public APIs available for integration with external systems.
Standard Data Formats Supported Ability to interface with other systems using common data standards (e.g., CSV, XML, JSON).		Supports standard data formats (CSV, XML, JSON) for data exchange.
Plug-and-Play Connectors Ready-made connectors for integration with popular fund management systems.		Connectors available for Bloomberg and select fund management solutions.
Batch Data Import/Export Supports bulk data exchange with external systems.		Bulk import/export features for system integration.
Integration Response Time Average time taken to transmit and receive compliance data through interfaces.		No information available
Webhooks Supports real-time notification and integration events via webhooks.		Supports real-time integration via webhooks for select workflow events.
Compliance Portal Integration Direct links to regulatory agency portals for streamlined compliance submissions.		Integration with regulatory portals for streamlined filing.
Data Mapping Flexibility Ability to configure mapping for third-party data to internal system fields.		Flexible data mapping and transformation tools for integrations.

Customizable Dashboards Personalized dashboards per user or team.		Users can customize dashboards for compliance monitoring.
Compliance KPI Tracking Visual display of key performance indicators relevant to regulatory compliance.		Dashboard visualizations display compliance KPIs.
Real-Time Data Refresh Rate Frequency at which dashboard data updates.		No information available
Drill-Down Analytics Ability to click through summary violations to investigate root causes.		Drill-down capabilities in analytics dashboards.
Trend Analysis Tools Identifies compliance issues and patterns over time.		Trend analysis tools for identifying compliance patterns over time.
Custom Report Generation Ability to create bespoke analytic reports.		Users create customized analytic reports.
Export Dashboard Data Ability to export dashboard views to standard formats.		Dashboard export capabilities included.
Dashboard Sharing Permissions Control who can view or edit dashboard data and layouts.		Can assign dashboard viewing/edit permissions.

Sandbox/Test Environment Allows new compliance rules and changes to be tested before live deployment.		Sandbox environment for testing rules and new functionality.
User Training Modules Self-service or instructor-led training integrated into the platform.		Integrated self-guided and instructor-led training modules.
In-App Guidance Step-by-step instructions and tooltips to help users with compliance processes.		In-app guidance and tooltips throughout platform.
Change Management Workflows Structured procedures for managing compliance-related changes.		Structured change management workflows built in for compliance changes.
Change Approval Workflows Multi-level approval steps required before compliance changes go live.		Approval workflows are required for compliance changes.
Change Implementation Time Time taken to implement and roll out system changes.		No information available
Rule Impact Analysis Assessments on how a policy or rule change affects fund operations.		Impact analysis for rule changes described in product literature.
Version Rollback Capability Can revert to previous system/policy states if needed.		Version rollback available for both rules and policies.

Bloomberg Compliance Manager from Bloomberg

Product analysis by function

Regulatory Compliance Systems for Risk & Compliance

Core Compliance Monitoring (0 Yes /0 Known /10 Possible features)

Reporting & Documentation (0 Yes /0 Known /10 Possible features)

Data Integration & Management (0 Yes /0 Known /10 Possible features)

User & Workflow Management (0 Yes /0 Known /10 Possible features)

Regulatory Change Management (0 Yes /0 Known /10 Possible features)

Risk Assessment & Management (0 Yes /0 Known /10 Possible features)

Surveillance & Transaction Monitoring (0 Yes /0 Known /10 Possible features)

Integration & Connectivity (0 Yes /0 Known /10 Possible features)

Usability & User Experience (0 Yes /0 Known /10 Possible features)

Security & Privacy (0 Yes /0 Known /10 Possible features)

Scalability & Performance (0 Yes /0 Known /10 Possible features)

Compliance Monitoring Tools for Compliance and Governance

Real-Time Regulatory Compliance Checks (8 Yes /8 Known /10 Possible features)

Alerting and Notification (7 Yes /7 Known /10 Possible features)

Audit Trail and Logging (5 Yes /5 Known /9 Possible features)

Regulatory Reporting (8 Yes /8 Known /9 Possible features)

Policy Management (8 Yes /8 Known /9 Possible features)

User Access & Permissions (7 Yes /7 Known /8 Possible features)

Data Security & Privacy Compliance (7 Yes /7 Known /8 Possible features)

Integration & Interoperability (7 Yes /7 Known /8 Possible features)

Dashboard & Analytics (7 Yes /7 Known /8 Possible features)

Testing, Training & Change Management (7 Yes /7 Known /8 Possible features)