Compliance is not only an industry requirement but a critical enabler for efficiency. Nourished by superior data, Bloomberg’s order management solutions make it easier to drive growth while mitigating risk.

Point of View

The Best Offense Is a Strong Defense

Volatility in financial markets has forced buy-side firms to adopt a new perspective on compliance and risk management. Regulators have introduced new requirements designed to improve transparency, standardize reporting and establish tighter control of the entire trading process. Firms that cannot comply are exposed to hefty fines, damaged reputations and the loss of clients.

Bloomberg Asset and Investment Manager (AIM) helps firms employ compliance to drive business growth in a secure manner with lower risk. With AIM, firms can focus on maximizing investment returns with the confidence that investments comply with a constantly changing mix of client, firm and regulatory requirements.

AIM offers a centralized solution powered by Bloomberg market data that ensures the investment process remains compliant with even the most extensive and complex global rule sets. From pre-trade analysis through trading and post-trade settlement, AIM offers a fully integrated solution that can be customized to fit a firm’s specific operating model.

AIM helps firms easily take advantage of new opportunities, such as managing new or complex assets or expanding into new regions, knowing that investments comply with local and global requirements. It offers the largest set of readily available and constantly updated global regulatory packages, as well as a flexible, template-based rules editor that empowers users to support both internal and investor-driven requirements.

Incorporate Compliance Into Order Flow

For sell-side firms, three trends are particularly noteworthy with respect to compliance. Due diligence now extends beyond risk management to operational controls and processes. While the last decade has been an intense period of new regulations, regulators aren’t finished. Finally, quality data is critical. Firms are keenly focused on avoiding errors caused by bad or inconsistent data. On top of these issues, firms share growing concerns about network security, fragmented liquidity, market volatility and shrinking margins.

To help alleviate the burden of compliance with an ever-evolving roster of global regulatory requirements, Bloomberg Trading Solutions integrate compliance processes within the entire trade life cycle.

Bloomberg Trade Order Management Solutions (TOMS) provides a real-time, administration-based interface that allows sell-side compliance professionals to perform intraday global regulatory reporting and compliance checks. Trading violations are captured in a live blotter that enables compliance officers to research and approve or reject violations. TOMS also automatically reports trades directly to the appropriate authority as part of the normal ticket flow operation.

Bloomberg Sell-Side Execution and Order Management Solutions (SSEOMS) strengthens compliance with firm-wide visibility into real-time positions and P&Ls, real-time alerts on trade compliance violations, trading limits and thresholds, and global regulatory and trade history reporting.


Turn Data Into Competitive Insights