Changing regulatory requirements, new communication platforms, and rapidly growing data volumes can make compliance daunting. Enterprises are struggling to manage surveillance and investigations across various communication sources, and managing trade data further exacerbates the issue. A complex and dynamic regulatory environment requires an integrated, up-to-the-minute approach to compliance.

As the compliance function becomes more intertwined with workflows across your firm, solutions that turn your compliance processes into value drivers can transform your business. Creating in-house technology solutions is costly in time and resources.

We gather everything firms need to stay ahead: supervision and surveillance tools, cutting-edge investigative functionality, advanced reporting, and immutable storage for record keeping requirements. All backed by best in class service.

With regulatory audits and legal investigations on the rise, firms must quickly locate, compile and analyze potential violations to minimize potential legal and regulatory risk. Bloomberg’s message search solution executes quick and efficient searches across a consolidated archive, and results can be exported for reporting and audit purposes.

The Bloomberg Vault Enterprise Archiving solution stores data in a write-once-read-many (WORM) format in multiple data centers for guaranteed disaster recovery. The archiving solution meets compliance and recordkeeping requirements of the SEC, FINRA and the CFTC, and we provide letters of attestation if required by the regulator.

The ability to quickly and accurately reconstruct trades with associated communications is essential not only for regulatory requirements, but also for risk departments and operations. Bloomberg’s comprehensive trade reconstruction solution aggregates and analyzes data from multiple platforms, including pre- and post-trade communications such as voice, emails, instant messages, Bloomberg communications, files and trade records/events.