{"id":46769,"date":"2023-08-07T13:50:13","date_gmt":"2023-08-07T17:50:13","guid":{"rendered":"https:\/\/www.bloomberg.com\/professional\/insights\/markets\/compliance-technology-in-an-ever-shifting-regulatory-landscape\/"},"modified":"2023-09-07T12:08:08","modified_gmt":"2023-09-07T16:08:08","slug":"compliance-technology-in-an-ever-shifting-regulatory-landscape","status":"publish","type":[3762],"link":"https:\/\/www.bloomberg.com\/professional\/insights\/markets\/compliance-technology-in-an-ever-shifting-regulatory-landscape\/","title":{"rendered":"Compliance technology in an ever-shifting regulatory landscape"},"content":{"rendered":"<div  class=\"bbg-row-container\">\n    <style>section[data-anchor=row-69ff75d08fbd5]::before {\n\t\t\t\tbackground-color: #eeeeee;\n\t\t\t}<\/style>\n    <section class=\"bbg-row bg--custom-color  bg--eeeeee text--black bbg-row--full-bg-bleed\" data-anchor='row-69ff75d08fbd5'>\n        \n        \n        <div\n            class=\"bbg-row--content\"\n                    >\n            \n            <p><div\n    class=\"bbg-column bbg-column--width-2\"\n    style=\"\"\n    >\n    \n<\/div><div\n    class=\"bbg-column bbg-column--width-8 bbg-column--valign-bottom\"\n    style=\"\"\n    >\n    <p>    <ul class=\"bbg-categories_list\">\n                    <li>\n                <a href=\"https:\/\/www.bloomberg.com\/professional\/insights\/category\/financial-services\/\" rel=\"category tag\">\n                    Financial Services\n                <\/a>\n            <\/li>\n                    <li>\n                <a href=\"https:\/\/www.bloomberg.com\/professional\/insights\/category\/markets\/\" rel=\"category tag\">\n                    Markets\n                <\/a>\n            <\/li>\n            <\/ul>\n<div\n    class=\"bbg-spacer\"\n        style=\"height: 24px !important\"\n    >\n<\/div>    <h1 class=\"bbg-metadata bbg-metadata--title\">Compliance technology in an ever-shifting regulatory landscape<\/h1>\n<\/p>\n\n<\/div>\n\n\n                    <\/div>\n    <\/section>\n<\/div>\n\n<div  class=\"bbg-row-container\">\n    <section class=\"bbg-row  text--black row-padding--top-compact row-padding--bottom-none bbg-row--full-bg-bleed\" data-anchor='row-69ff75d095a3d'>\n        \n        \n        <div\n            class=\"bbg-row--content\"\n                    >\n            \n            <p><div\n    class=\"bbg-column bbg-column--width-2\"\n    style=\"\"\n    >\n    \n<\/div><div\n    class=\"bbg-column bbg-column--width-8\"\n    style=\"\"\n    >\n    <p><div\n    class=\"bbg-spacer\"\n        style=\"height: 40px !important\"\n    >\n<\/div><div\n\tclass=\"bb-wysiwyg byline\"\n\t\t>\n\t<p><strong>Bloomberg Professional Services<\/strong><\/p>\n\n<\/div>\n    <p class=\"bbg-metadata bbg-metadata--date\">August 7, 2023<\/p>\n<\/p>\n\n<\/div>\n\n\n                    <\/div>\n    <\/section>\n<\/div>\n\n<div  class=\"bbg-row-container\">\n    <section class=\"bbg-row  text--black row-padding--top-none bbg-row--full-bg-bleed\" data-anchor='row-69ff75d097cb8'>\n        \n        \n        <div\n            class=\"bbg-row--content\"\n                    >\n            \n            <p><div\n    class=\"bbg-column bbg-column--width-2\"\n    style=\"\"\n    >\n    \n<\/div><div\n    class=\"bbg-column bbg-column--width-8\"\n    style=\"\"\n    >\n    <div\n\tclass=\"bb-wysiwyg\"\n\t\t>\n\t<h2>Introduction<\/h2>\n<p>Financial regulation changed significantly following the global financial crisis of 2008, which badly exposed gaps in the pre-crisis global regulatory framework. In the years since, regulators have sought to increase transparency and improve standards as the industry develops while demonstrating a willingness to pursue aggressive enforcement actions where necessary.<\/p>\n<p>Although the sell-side has typically attracted the most regulatory scrutiny and received the heaviest fines, the buy-side is also dealing with an increasingly complex and robust range of regulatory requirements. Indeed, the growing size and systemic importance of the buy-side means that it is increasingly in the regulatory spotlight when it comes to the development of new rules and practices.<\/p>\n\n<\/div>\n<div class=\"bbg-interstitial\" aria-label=\"interstitial\" tabindex=\"0\">\n\t<style>\n\t\t.bbg-interstitial #card_1.bbg-card_hasCta{\n\t\t\tbackground:rgba(0,0,0,0);\n\t\t\tpadding: 104px;\n\t\t\t\n\t\t\t\n\t\t}\n\t\t.bbg-interstitial #card_1.bbg-card_hasCta .bbg-card__content, .bbg-interstitial #card_1.bbg-card_hasCta .bbg-card__content p{\n\t\t\tcolor:inherit;\n\t\t}\n\t\t@media (max-width: 768px) {\n\t\t\t.bbg-interstitial #card_1.bbg-card_hasCta{\n\t\t\t\tpadding: 80px 32px;\n\t\t\t}\n\t\t}\n\t\t@media (max-width: 480px) {\n\t\t\t.bbg-interstitial #card_1.bbg-card_hasCta{\n\t\t\t\tpadding: 80px 18px;\n\t\t\t}\n\t\t}\n\t<\/style>\n\t<div class=\"wpb_content_element bbg-card  bbg-card-dark bbg-card_hasCta has_interstitial\" id=\"card_1\" data-card_type=\"no_image\">\n  \n  \n  <div class=\"bbg-card__innerwrapper\">\n    <div class=\"bbg-card__content\">\n      \n      \n                      <h3 class=\"bbg-card__title\">Bloomberg Risk Models and the PORT Portfolio Management system<\/h3>\n      \n              <div class=\"bbg-card__wysiwyg bb-wysiwyg\"><p>Learn more<\/p>\n<\/div>\n          <\/div>\n\n          \n<div\n  id=\"cta_9187500064491828929\"\n  class=\"wpb_content_element bbg-cta icon icon-arrow\">\n  <style>\n    \n    \n    \n  <\/style>\n  <div\n    class=\"bbg-cta-link link-holder\"\n    data-links-type=\"cta-links\">\n    <p class=\"bbg-cta-p right\">\n      <a\n        class=\"bbg-cta-link link interstitial_cta\"\n        href=\"https:\/\/www.bloomberg.com\/professional\/products\/bloomberg-terminal\/portfolio-analytics\/\"\n        target=\"_blank\"\n        rel=\"\"\n        data-section-name=\"\"\n                role=\"button\"\n        aria-label=\"Learn more\"\n        >\n                <\/a>\n    <\/p>\n  <\/div>\n<\/div>\n\n      <\/div>\n\n  <\/div>\n\n<\/div>\n<div\n\tclass=\"bb-wysiwyg\"\n\t\t>\n\t<p>Not only are regulators working through a post-pandemic backlog of policy development and enforcement in long-standing traditional areas such as market abuse and communications surveillance, but there are also clear signs that financial regulators are taking on a much more ambitious and varied remit than ever before. New and emerging areas such as green finance, digital assets, and artificial intelligence are fast becoming key priorities for regulators aiming to keep up with industry developments and set standards accordingly.<\/p>\n<p>As regulatory pressures continue to grow, buy-side \ufb01nancial \ufb01rms must optimize the e\ufb00ectiveness of their compliance o\ufb00icers, portfolio managers, and trading desks in an efficient and cost-effective manner.<\/p>\n<p>In this post, we discuss several significant trends and areas of investment that buy-side firms must consider as they seek to optimize their compliance regime, as they address the increasingly fast-moving and assertive regulatory landscape they operate in.<\/p>\n<h2>Key Buy Side Compliance Challenges<\/h2>\n<p>A recent survey conducted by Waters Technology found that when asked to identify their greatest compliance challenges, 52% of buy-side \ufb01rms reported that their processes were too manually intensive and lacked automation.<\/p>\n<p>Forty-two percent stated they needed help understanding the minutiae of regulations and translating them to technologies and work\ufb02ows. Additionally, 39% felt poor accuracy and reliability due to fragmented, legacy or proprietary systems presented a signi\ufb01cant challenge.<\/p>\n<p>As these results show, buy-side compliance teams face signi\ufb01cant challenges. Today, many buy-side \ufb01rms rely on legacy solutions built on less sophisticated technology designed to function in a simpler, less demanding regulatory environment. Such technology, which often operates in siloes, leads to ine\ufb00iciencies, including manually updating each system as regulations change. All of this adds up to direct or indirect costs in the form of human time, technology inefficiencies, or unaddressed risks.<\/p>\n<p>To better operate in today\u2019s environment and prepare for what\u2019s over the horizon, buy-side \ufb01rms must take a different approach.<\/p>\n<p>Rather than viewing every compliance obligation as requiring its own specific point solutions.\u00a0 Firms should seek compliance solutions designed to be as comprehensive and integrated as possible, backed by the regulatory expertise to help clients adapt and scale quickly as regulations evolve.<\/p>\n<p>Using such a solution allows \ufb01rms to:<\/p>\n<ul>\n<li>Embrace automation and ingest, organize, analyze, and report vast amounts of data quickly and e\ufb00iciently.<\/li>\n<li>Facilitate regulatory compliance by providing those involved in the compliance e\ufb00ort with timely, relevant, detailed, and accurate data.<\/li>\n<li>Ingest data from existing technologies, including third-party solutions, and minimize the stress on your \ufb01rm and compliance professionals and their e\ufb00orts to create a credible and defensible program.<\/li>\n<\/ul>\n<h2>Bloomberg&#8217;s Suite of Compliance Solutions<\/h2>\n<p>This holistic, integrated, and scalable approach defines Bloomberg\u2019s Compliance and Regulatory Solutions.\u00a0 Comprised of the following key offerings:<\/p>\n<ul>\n<li><strong>AIM\u2019s Trade Compliance Modules<\/strong><\/li>\n<li><strong>Vault\u2019s Integrated Archival, Analytics, and Surveillance Suite<\/strong><\/li>\n<li><strong>BTCA\u2019s Trade Surveillance and Best Execution Solutions<\/strong><\/li>\n<li><strong>RHUB\u2019s Regulatory Reporting Tools<\/strong><\/li>\n<\/ul>\n<p>Bloomberg\u2019s powerful suite of Compliance and Regulatory Solutions provides Buy Side compliance, technology, and risk officers effective ways to manage their firm\u2019s regulatory risks and business mandates with a trusted technology provider that can scale and adapt to an ever-changing regulatory landscape.<\/p>\n<p>Our suite of offerings help manage the end-to-end compliance workflow from policy to prevention, retention to surveillance, and discovery to reporting, all fully supported by Bloomberg\u2019s unparalleled level of service, global regulatory expertise, and powerful Terminal community.<\/p>\n<p>AIM\u2019s Trade Compliance module provides AIM users access to over 800+ templates to support in-trade policies for pre- and post-trade controls covering a vast array of regulatory and business rules well as end-of-day compliance checks, all directly connected to front-office trader and risk officer workflows.<\/p>\n<p>Vault\u2019s Integrated Archival, Analytics, and Surveillance suite provides one of the industry\u2019s most powerful AI and Rules-based communication, voice, and trade compliance offerings.\u00a0 Focused on helping firms meet their books and records and surveillance obligations, Vault can capture, archive, transcribe, translate, surveil, and analyze over 100 communication, voice, and trade channels in over 60 languages, including nearly all major corporate, mobile, and voice channels such as MS Teams, WhatsApp, Zoom, and many more.<\/p>\n<p>BTCA delivers comprehensive, automated, and data-rich trade surveillance across all asset classes. BTCA features a flexible capability framework to precisely identify possible market abuse, suspicious trading, and best execution breaches using data-driven suggested thresholds. Comprehensive workflow tools and integration to the wider Bloomberg Professional Service to prioritize, investigate, and evidence cases and a rich set of analytic tools and KPIs to help firms identify underlying causes and trends to help them correct deficiencies, improve their surveillance policy, and better utilize resources.<\/p>\n<p>Bloomberg Regulatory Reporting Services (BRRS) offer a comprehensive suite of solutions that help firms navigate the complex and evolving regulatory reporting landscape. Our global, cross-asset, muti-jurisdiction solutions fulfill the needs of buy-side firms across all markets. Bloomberg\u2019s Regulatory Reporting Services can be easily integrated into any firm\u2019s workflows via standard APIs or with Bloomberg\u2019s own order management, execution or confirmation solutions. Our Regulatory Reporting Hub (RHUB) is a leading trade and transaction reporting solution covering a range of jurisdictions that benefits from using Bloomberg data to enrich and verify reports. Our Assurance services provide a comprehensive control framework designed to provide firms with the transparency and regulatory intelligence needed to ensure reporting quality, regardless of the primary reporting solution utilized.<\/p>\n<p>Bloomberg\u2019s customizable and scalable technology allows buy-side \ufb01rms to respond quickly to changes in the regulatory environment and how the firm operates. In addition to mitigating regulatory risk, Bloomberg\u2019s suite of tools ensures compliance with corporate mandates.<\/p>\n<h2>Get connected to a holistic compliance solution<\/h2>\n<p>From end-of-day compliance checks to communication and voice surveillance to trade surveillance, regulatory reporting, and many other critical tasks, Bloomberg\u2019s compliance and regulatory solutions help buy-side \ufb01rms minimize the stresses and strains of compliance without compromising their ability to comply with increasingly complex and demanding regulations and laws.<\/p>\n<p>Through automation, proactive risk mitigation, high-quality reporting, and the avoidance of compliance violations, among other bene\ufb01ts, Bloomberg\u2019s compliance solutions can generate signi\ufb01cant and sustainable cost savings.<\/p>\n<p>To avoid attracting regulatory scrutiny and maintain compliance with onerous laws and regulations, buy-side \ufb01rms must excel at compliance in all its forms. To comply with regulations and minimize the administrative burden, buy-side \ufb01rms need access to a \ufb02exible, scalable, and e\ufb00ective integrated solution. Bloomberg\u2019s end-to-end Compliance and Regulatory solutions provide an all-encompassing offering.<\/p>\n\n<\/div>\n\n<\/div><div\n    class=\"bbg-column bbg-column--width-2\"\n    style=\"\"\n    >\n    \n<\/div>\n\n\n                    <\/div>\n    <\/section>\n<\/div>\n\n<div  class=\"bbg-row-container\">\n    <style>section[data-anchor=row-69ff75d09d2e3]::before {\n\t\t\t\tbackground-color: #eeeeee;\n\t\t\t}<\/style>\n    <section class=\"bbg-row bg--custom-color  bg--eeeeee text--black bbg-row--full-bg-bleed\" data-anchor='row-69ff75d09d2e3'>\n        \n        \n        <div\n            class=\"bbg-row--content\"\n                    >\n            \n            <div\n    class=\"bbg-column\"\n    style=\"\"\n    >\n    <div\n\tclass=\"bb-wysiwyg\"\n\t\t>\n\t<h2>Recommended for you<\/h2>\n\n<\/div>\n<div\n    class=\"bbg-spacer\"\n        style=\"height: 24px !important\"\n    >\n<\/div><script>\n    window.feed = window.feed || {};\n    window.feed['69ff75d09ff3d'] = 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Now, let us do that for you.<\/p>\n<\/div>\n          <\/div>\n\n          \n<div\n  id=\"cta_5472249483736363937\"\n  class=\"wpb_content_element bbg-cta icon icon-arrow\">\n  <style>\n    \n    \n    \n  <\/style>\n  <div\n    class=\"bbg-cta-link link-holder\"\n    data-links-type=\"cta-links\">\n    <p class=\"bbg-cta-p right\">\n      <a\n        class=\"bbg-cta-link link interstitial_cta\"\n        href=\"https:\/\/www.bloomberg.com\/professional\/request-demo\/\"\n        target=\"\"\n        rel=\"\"\n        data-section-name=\"\"\n                role=\"button\"\n        aria-label=\"Learn more\"\n        >\n                <\/a>\n    <\/p>\n  <\/div>\n<\/div>\n\n      <\/div>\n\n  <\/div>\n\n<\/div>\n\n\n<\/div>\n\n\n                    <\/div>\n    <\/section>\n<\/div>\n","protected":false},"excerpt":{"rendered":"<p>Emerging areas such as green finance and artificial intelligence are becoming key priorities for regulators aiming to keep up with industry 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