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Bloomberg Entity Exchange from Bloomberg
Secure digital platform for managing client onboarding and KYC information. Helps corporate treasury departments meet compliance requirements through standardized information collection, document management, and secure communication with counterparties.
Product analysis by function
Compliance Monitoring Tools for Treasury Compliance
Solutions that continuously monitor treasury activities against defined compliance rules and thresholds, generating alerts for potential violations.
More Compliance Monitoring Tools
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Core Compliance Monitoring
(3 Yes /4 Known /13 Possible features)
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Real-Time Monitoring Ability to monitor transactions and treasury activities in real-time. |
Not as far as we are aware.* Bloomberg Entity Exchange is primarily focused on onboarding and KYC document management, not on real-time transaction monitoring. | |
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Rule-Based Engine Configurable engine to define, manage, and update compliance rules. |
No information available | |
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Automated Violation Detection System automatically detects and flags activities that breach compliance rules. |
No information available | |
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Coverage Breadth Number of treasury domains or modules under monitoring (e.g., payments, investments, FX, liquidity). |
No information available | |
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Multi-Regulation Support Ability to support and update multiple regulatory regimes (e.g., SOX, Dodd-Frank, EMIR, GDPR). |
Supports multiple regulatory regimes by standardizing KYC to meet regional requirements. | |
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Threshold Sensitivity Granularity by which thresholds or limits can be defined for compliance alerts. |
No information available | |
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Frequency of Checks Interval at which compliance checks are performed. |
No information available | |
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Historical Data Analysis Can the system analyze past activity for compliance reviews? |
No information available | |
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Batch vs. Continuous Monitoring Allows switching or combining periodic and real-time monitoring options. |
No information available | |
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Audit Trail Generation Maintains immutable records of compliance events and monitoring activities. |
Maintains audit trails for document access and sharing, per product documentation. | |
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Exception Handling Mechanisms for managing, escalating, and resolving exceptions and false positives. |
No information available | |
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Data Integrity Verification Ensures the monitored data is complete, consistent, and accurate. |
Product emphasizes secure, accurate document exchange and management. | |
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Alert Prioritization Ability to rank and prioritize alerts based on criticality and impact. |
No information available |
Alerting and Notification
(2 Yes /2 Known /11 Possible features)
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Multi-Channel Alerting Can send alerts via email, SMS, dashboards, or push notifications. |
The platform can send notifications and communication through several channels, such as email and portal dashboards. | |
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Customizable Alert Templates Users can configure the content and format of compliance alerts. |
No information available | |
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Escalation Workflows Automated workflows to escalate unresolved or critical compliance violations. |
No information available | |
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Alert Acknowledgement Tracking Tracks user responses and acknowledgements for each alert. |
No information available | |
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Alert Resolution Time Average time to acknowledge and resolve compliance alerts. |
No information available | |
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Severity Level Classification Allows classification of alerts by severity (e.g., Low, Medium, High, Critical). |
No information available | |
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Audit Logging of Alerts Maintains an audit trail for alerts sent, received, and acted upon. |
Product maintains audit logs of document sharing, submission, and notifications. | |
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Repeat Notification Thresholds Configurable settings for repeated notifications/escalations if alerts remain unresolved. |
No information available | |
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Alert Analytics & Dashboard Visualization and reporting of alert history, trends, and statuses. |
No information available | |
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Integration with Incident Management Can connect with external incident or case management systems. |
No information available | |
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User-specific Notification Preferences Supports user-defined preferences for receiving alerts. |
No information available |
Reporting and Analytics
(3 Yes /3 Known /10 Possible features)
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On-demand Report Generation Users can generate compliance reports at any time. |
Users can generate and download on-demand compliance and KYC status reports. | |
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Scheduled Reporting Automates the production and distribution of recurring compliance reports. |
No information available | |
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Custom Report Builder Enables users to create custom reports tailored to specific requirements. |
No information available | |
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Visualization Tools Dashboards and charts to visualize compliance trends and KPIs. |
No information available | |
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Export Capabilities Supports exporting reports in multiple formats (PDF, Excel, CSV, etc.). |
Reports and lists can be exported in standard formats (per documentation). | |
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Automated Distribution Ability to automatically distribute reports to defined recipients. |
No information available | |
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Access Controls for Reports Supports user-level permissions for viewing or modifying reports. |
Users are managed with specific permissions regarding document and data access. | |
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Drill-down and Filtering Users can drill down into detailed data and filter by parameters. |
No information available | |
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Historical Comparisons Report tools allow comparison of compliance performance over time. |
No information available | |
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Exception Reporting Automated highlighting of outlier or exception events. |
No information available |
User Management and Security
(6 Yes /6 Known /9 Possible features)
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Role-Based Access Control (RBAC) System restricts access based on user roles and permissions. |
Role-based access and permissions are a core feature for client and counterparty access. | |
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Single Sign-On (SSO) Integration with identity providers for seamless and secure authentication. |
No information available | |
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Multi-factor Authentication (MFA) Provides multi-level user authentication for enhanced security. |
No information available | |
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Activity Logging Records all user actions and sessions for forensic and audit purposes. |
Each user action and document event is logged for review and audit. | |
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Data Encryption (In-Transit/At-Rest) Protects sensitive treasury and compliance data via encryption. |
The platform encrypts data for secure transmission and storage, aligned with KYC best practices. | |
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User Provisioning/De-provisioning Automated management of user access throughout employment. |
Supports centralized onboarding and is integrated with employment/relationship status for provisioning. | |
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Password Policy Enforcement System enforces complexity, expiration, and change policies for passwords. |
Password and access security are enforced per enterprise security standards. | |
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Session Timeout Automatic logout after a set period of inactivity. |
No information available | |
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Access Audit Reports Ability to generate reports on system access and user activity. |
Access audit logs and reports can be generated for compliance purposes. |
Integration & Interoperability
(4 Yes /4 Known /9 Possible features)
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API Availability Standard APIs for seamless integration with internal or external systems. |
APIs are available for connecting to internal KYC and counterparty management systems. | |
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ERP/TMS Integration Ability to integrate directly with ERP or Treasury Management Systems. |
No information available | |
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Real-Time Data Feeds Supports live data connectivity to and from other systems. |
No information available | |
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Bank Data Integration Connects with banks for real-time bank statement monitoring. |
No information available | |
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Third-party Data Source Support Integrates data from external regulatory or reference sources. |
Can import data and check against external reference lists and regulatory databases. | |
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Custom File Import/Export Permits bi-directional data flows with custom file formats. |
Can import/export custom document sets for onboarding and compliance. | |
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Integration Support for Cloud Platforms Can connect with cloud-based apps/services (e.g., Azure, AWS, GCP). |
Cloud-based platform with options for integration with AWS and similar services. | |
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Number of Supported Integrations Number of unique external systems integrated. |
No information available | |
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Data Synchronization Frequency Interval at which data is synchronized with connected systems. |
No information available |
Configurability & Customization
(2 Yes /2 Known /9 Possible features)
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Custom Rule Authoring Users can define their own compliance conditions and thresholds. |
No information available | |
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Dynamic Thresholds Thresholds can be set to auto-adjust based on treasury context or risk profile. |
No information available | |
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Localization/Internationalization System supports multiple languages and regional compliance requirements. |
Available in multiple languages and supports regional KYC requirements. | |
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Reporting Customization Allows users to customize layout and content of compliance reports. |
No information available | |
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Custom Workflow Configuration Administrators can design and implement bespoke compliance workflows. |
No information available | |
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User Interface Personalization Options to personalize dashboards, views, and alert settings. |
No information available | |
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Configurable Alert Triggers Users may set triggers for alerts based on a variety of attributes. |
No information available | |
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Delegation/Approval Workflows Enables delegation or multi-step approvals for compliance processes. |
No information available | |
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Template Management Pre-built and editable templates for compliance documentation. |
Template-driven document collection and communication for onboarding. |
Regulatory Management
(5 Yes /5 Known /9 Possible features)
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Automated Regulatory Updates System updates compliance rules for new or amended regulations automatically. |
No information available | |
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Regulatory Library Integrated repository of applicable laws, rules, and guidance. |
Repository feature for KYC regulatory documentation. | |
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Multi-jurisdiction Support Handles compliance across multiple countries or regions. |
Platform supports onboarding for multiple regions/jurisdictions. | |
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Regulatory Gap Analysis Automated gap analysis as rules/policies change. |
No information available | |
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Compliance Calendar Tracks key regulatory deadlines and review dates. |
Tracks document expiry, renewal, and regulatory deadlines via calendar view. | |
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Policy Document Management Centralized storage and versioning of compliance policy documents. |
Centralized document storage and version management is a primary product function. | |
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Attestation Management Manages user attestations acknowledging compliance policies. |
No information available | |
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Regulatory Impact Assessment Assesses how new rules will affect current compliance programs. |
No information available | |
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Update Notification Mechanism Notifies relevant users of regulatory or policy updates promptly. |
Platform provides notifications to users of document or policy changes. |
Risk Management Integration
(0 Yes /0 Known /9 Possible features)
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Risk Scoring Assigns and updates risk scores for compliance events or violations. |
No information available | |
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Integration with Risk Register Compliance violations can be pushed directly to corporate risk registers. |
No information available | |
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Scenario Analysis Enables modeling of compliance breaches and their impacts. |
No information available | |
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KRI Monitoring Monitors key risk indicators in parallel with compliance rules. |
No information available | |
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Compliance-Risk Mapping Maps compliance policies to organizational risk categories. |
No information available | |
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Automated Risk Mitigation Guidance Provides inline suggestions or protocols to mitigate flagged risks. |
No information available | |
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Management Dashboard Unified dashboard to view both risk and compliance status. |
No information available | |
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Incident Response Playbooks Embedded best practice guides for responding to compliance incidents. |
No information available | |
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Early Warning Indicators Features to set up early warning signals based on risk trends. |
No information available |
Scalability and Performance
(0 Yes /0 Known /8 Possible features)
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Concurrent User Support Number of users who can use the compliance system simultaneously. |
No information available | |
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Transaction Processing Rate Number of transactions or activities the system can monitor per second. |
No information available | |
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Maximum Alert Volume Number of compliance alerts the system can handle without performance degradation. |
No information available | |
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System Uptime Percentage of time the compliance monitoring system is operational. |
No information available | |
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Data Retention Capacity Max period the system retains historical compliance data. |
No information available | |
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Geographical Redundancy Supports deployment across multiple geographies/data centers for resilience. |
No information available | |
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Disaster Recovery Capability System has built-in disaster recovery features with quick failover. |
No information available | |
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Elastic Resource Scaling Ability to auto-scale resources during peaks in activity. |
No information available |
User Experience & Accessibility
(7 Yes /7 Known /9 Possible features)
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Intuitive Dashboard Interface Clean, user-friendly dashboards to monitor compliance status and actions. |
The product emphasizes a clean and intuitive UI for onboarding and document management. | |
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Mobile Device Compatibility Compliance system is accessible from mobile devices and tablets. |
Accessible through web and mobile interfaces. | |
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Accessibility Standard Compliance Meets accessibility guidelines for users with disabilities (e.g. WCAG 2.1). |
No information available | |
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In-app Guidance Provides contextual help and tooltips within the application. |
No information available | |
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Global Search Functionality Allows users to search across all compliance data and rules. |
Allows searching across entity and document records. | |
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Task Automation Features Automates repetitive monitoring or reporting tasks for end users. |
Automates collection and request of documents from participants. | |
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Multi-language Support User interface available in multiple languages. |
Multi-language user interface available. | |
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Self-service Knowledge Base Online guides, FAQs, and documentation for users. |
Includes online help, FAQs and documentation. | |
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Onboarding and Training Tools Features for new user onboarding and ongoing training within the tool. |
Provides user onboarding tours and resource guides. |
Audit & Evidence Management
(5 Yes /5 Known /8 Possible features)
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Automated Evidence Collection Automatically gathers supporting evidence for compliance monitoring activities. |
No information available | |
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Centralized Audit Documentation Repository A central place for storing and retrieving all audit documents and evidence. |
Central repository for storing and retrieving all onboarding/audit evidence and documents. | |
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Audit Log Integrity Controls Tools to ensure audit logs are tamper-proof and verifiable. |
System has audit log integrity controls to ensure document tamper resistance. | |
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Access-Based Audit Views Audit reports and evidence are accessible only to authorized users. |
Document and audit evidence access is restricted to authorized users with permissions. | |
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Automated Audit Trail Reporting On-demand reports showing full history of compliance actions and user activity. |
No information available | |
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Third-party Auditor Access Temporary, controlled access for external auditors. |
Can grant temporary access to external auditors or counterparties during reviews. | |
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Audit Timeline Visualization Tools to visually review chronological sequences of compliance events. |
No information available | |
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Evidence Version Control Maintains historical versions of audit evidence and documentation. |
Document versioning is maintained as documents are updated or replaced. |
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