Solutions for record-keeping obligations

MiFID II
Record-keeping obligations for MiFID II

MiFID II introduces sweeping record-keeping requirements for services, activities and transactions, including voice recordings. In addition, firms must monitor for prohibited market activity and quickly reconstruct the lifecycle of a trade across multiple channels.

Bloomberg Vault can archive emails, chats and voice recordings, as well as Bloomberg MSGs and IBs. In the same archive, Vault can store the pre-trade and trade data required for MiFID II. Archived data is stored on immutable, write-once-read-many (WORM) storage so that records can’t be deleted or modified throughout the required retention period. Vault also provides the surveillance controls to set and monitor activities.

As regulatory change impacts financial firms, get the single managed solution that seamlessly keeps you compliant with MiFID II and more.

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E-Communication surveillance solutions
For firms seeking to bolster MiFID II compliance in monitoring for suspicions of market abuse and conduct risk, we apply robust surveillance policies to your electronic communications to help identify outliers and document investigations to their conclusion.

Trade archive for pre-trade and trade data
For firms looking to meet a broad range of order and execution record-keeping and investigatory demands in order to accurately reconstruct historical transactions on demand. Pre-trade and trade data can be seamlessly ingested through pre-built integrations with Bloomberg order management and execution systems, as well as support for ingestion of third-party sources of data. Bloomberg’s comprehensive trade archive solution allows firms to quickly associate transactions with the appropriate communications to reconstruct activity.

Comprehensive record-keeping and trade reconstruction solutions
For firms looking to meet their obligations to archive electronic communications, Bloomberg Vault can ingest and store a range of communication channels — including Bloomberg Message and IBs, emails, instant messages, voice recordings, voice transcriptions, alongside the full range of pre-trade events, trades and documents.

Immutable or write-once-read-many (WORM) storage
For firms seeking to retain a non-rewritable “golden” copy of their books, records and transactions for the required period requested by the competent authority, Bloomberg Vault stores data in an immutable storage format in multiple data centers for complete disaster recovery. Vault’s immutable storage ensures that archived data cannot be deleted or modified for the firm’s retention period.

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