Bloomberg Vault is an integrated compliance and surveillance solution designed to help global financial services firms meet their regulatory obligations and business standards. Vault enables firms to capture, control, archive, reconstruct, and analyze their e-communication, trade, and voice data across the entire trading life cycle on a real time or historic basis.
Primarily a premium, enterprise offering with robust capabilities across the compliance workflow, Vault also underpins the entire Terminal community with the capture of Bloomberg’s proprietary e-communications and trading data as well as basic archival, surveillance, and search tools for approved reviewers.
Bloomberg Vault is a proven game changer for clients. Here are just a few of the ways it can advance the success of your firm.
- Integrated data sets
Integrated data means you can aggregate, connect and enrich Bloomberg or corporate data sources such as trade, voice or e-communications - Real-time monitoring
Bloomberg data can be surveilled in real time while third-party data can be surveilled in near real-time for certain sources - Reduced risk
Solutions help mitigate regulatory risk like market abuse and misconduct - Streamlined workflows
Avoid swivel-chair compliance and move smoothly from alerting to investigation to reporting - Next-level security
Client data is held on Bloomberg’s large private network in Bloomberg-owned and operated data centers with proprietary multi-factor biometric authentication - Best-in-class service
Unlimited access to dedicated 24/7 global account managers and support teams to help with onboarding and training - Flexibility
Have greater flexibility in setting up permissions, groups and policies tailored to your supervisory and regulatory framework, plus unlimited user licenses for enterprise subscriptions
From MiFID II to Dodd-Frank to MAR and beyond, complex and changing regulatory and business requirements are an inevitability for everyone in compliance and control roles.
Alongside the complexity are increased volumes and additional channels driven by remote work. In order to mitigate risks and threats, firms must secure proper frameworks to retain communications and trading records and perform surveillance across their enterprises.
Bloomberg Vault can collect and aggregate primary sources of Bloomberg originated data and corporate data needed for supervision and surveillance programs.
Explore Vault solutions
Storage
Bloomberg Vault delivers write-once, read-many (WORM) storage across your firm’s monitored e-communication channels, including Bloomberg data, corporate email, instant messaging and social media
Data retention periods
Clients can select their own data retention periods to ensure data is stored on WORM for the period of time required by their regulators, including FCA, BaFin, ASIC, and SFC among others.
Surveillance policies
Apply 40+ out-of-the-box surveillance policies in real time to Bloomberg messages and chats and in near-real time to corporate communication channels
Customizable policies
Customize policies to reduce false positives and meet regulatory requirements, corporate compliance and data security needs
Query language and syntax capability
Create complex policies with a powerful query language and syntax capability
Strong efficiencies
Configure review hierarchies, escalation workflows and robust reporting that create an efficient compliance environment
Audit actions
Evidence your supervision practices to regulators by capturing audit actions
Full historical data
Access full historical data using powerful capabilities such as Boolean, proximity and wild card operators
Streamlined workflows
Streamline e-discovery workflows throughout early case assessment with investigation, collection and reporting tools
Data export
Export data in various formats for additional analytics, litigation and/or regulatory needs
Case management
Use case management capabilities to organize and track user-based searches and tasks
Downloadable reports
Reconcile with the ease of downloading reports for every search
Trade archive
Allow for timely trade reconstruction by pairing a trade archive solution with the Bloomberg Vault communications storage solution
Searchable and retrievable data
Access data that is searchable and retrievable from a single console, allowing clear visibility into the entirety of each trade
Trade archive fulfillment
Fulfill trade archive requirements for WORM storage
User scope enablement
Review, access and change users’ enablement scope across products and services
Surveillance groups
Create and maintain surveillance groups ensuring greater control and efficiency
Real-time policy application
Apply real-time and preventative policies to users with interactive capabilities for Bloomberg datasets
Controls by jurisdiction
Organize controls by jurisdiction across a firm
Real-time information barriers
Employ real-time information barriers that can be applied to internal Bloomberg communications to meet ethical wall requirements
More solutions and resources
Bloomberg also offers an additional array of solutions to help compliance officers—and those with compliance and control responsibilities—to manage their workflow requirements.
Contact a specialist
Insights
Article
Preparing for what's next: Technology and compliance in GCC financial institutions
Many factors play a role in a financial institution’s ability to keep pace with the changing regulatory environment.
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5 things new commodities hedgers need to know
On volatility – looking at oil markets, the number of times Brent has moved 5%+ or more in a single day has been about the highest in the last 30 years.
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Coping with FRTB regional shifts
Bloomberg is tweaking its Multi-Asset Risk System to include region-specific regulations in the risk analytics software.
Storage
Bloomberg Vault delivers write-once, read-many (WORM) storage across your firm’s monitored e-communication channels, including Bloomberg data, corporate email, instant messaging and social media
Data retention periods
Clients can select their own data retention periods to ensure data is stored on WORM for the period of time required by their regulators, including FCA, BaFin, ASIC, and SFC among others.
Surveillance policies
Apply 40+ out-of-the-box surveillance policies in real time to Bloomberg messages and chats and in near-real time to corporate communication channels
Customizable policies
Customize policies to reduce false positives and meet regulatory requirements, corporate compliance and data security needs
Query language and syntax capability
Create complex policies with a powerful query language and syntax capability
Strong efficiencies
Configure review hierarchies, escalation workflows and robust reporting that create an efficient compliance environment
Audit actions
Evidence your supervision practices to regulators by capturing audit actions
Full historical data
Access full historical data using powerful capabilities such as Boolean, proximity and wild card operators
Streamlined workflows
Streamline e-discovery workflows throughout early case assessment with investigation, collection and reporting tools
Data export
Export data in various formats for additional analytics, litigation and/or regulatory needs
Case management
Use case management capabilities to organize and track user-based searches and tasks
Downloadable reports
Reconcile with the ease of downloading reports for every search
Trade archive
Allow for timely trade reconstruction by pairing a trade archive solution with the Bloomberg Vault communications storage solution
Searchable and retrievable data
Access data that is searchable and retrievable from a single console, allowing clear visibility into the entirety of each trade
Trade archive fulfillment
Fulfill trade archive requirements for WORM storage
User scope enablement
Review, access and change users’ enablement scope across products and services
Surveillance groups
Create and maintain surveillance groups ensuring greater control and efficiency
Real-time policy application
Apply real-time and preventative policies to users with interactive capabilities for Bloomberg datasets
Controls by jurisdiction
Organize controls by jurisdiction across a firm
Real-time information barriers
Employ real-time information barriers that can be applied to internal Bloomberg communications to meet ethical wall requirements
Bloomberg also offers an additional array of solutions to help compliance officers—and those with compliance and control responsibilities—to manage their workflow requirements.
Article
Preparing for what's next: Technology and compliance in GCC financial institutions
Many factors play a role in a financial institution’s ability to keep pace with the changing regulatory environment.
Article
5 things new commodities hedgers need to know
On volatility – looking at oil markets, the number of times Brent has moved 5%+ or more in a single day has been about the highest in the last 30 years.
Article
Coping with FRTB regional shifts
Bloomberg is tweaking its Multi-Asset Risk System to include region-specific regulations in the risk analytics software.
