Ratings and Reviews 0 Ratings

Total 0 out of 5 stars
ease 0 out of 5 stars
features 0 out of 5 stars
design 0 out of 5 stars
support 0 out of 5 stars

This software has no reviews. Be the first to write a review.

Write a Review

Ratings and Reviews 0 Ratings

Total 0 out of 5 stars
ease 0 out of 5 stars
features 0 out of 5 stars
design 0 out of 5 stars
support 0 out of 5 stars

This software has no reviews. Be the first to write a review.

Write a Review

Alternatives to Consider

  • IUX Reviews & Ratings
    4.0 out of 5 stars 968 Ratings
    Company Website for IUX
  • Vantage Reviews & Ratings
    4.4 out of 5 stars 16,475 Ratings
    Company Website for Vantage
  • Haast Reviews & Ratings
    4.9 out of 5 stars 5 Ratings
    Company Website for Haast
  • Predict360 Reviews & Ratings
    4.7 out of 5 stars 18 Ratings
    Company Website for Predict360
  • Sumsub Reviews & Ratings
    4.6 out of 5 stars 239 Ratings
    Company Website for Sumsub
  • Capitalcore Reviews & Ratings
    5.0 out of 5 stars 91 Ratings
    Company Website for Capitalcore
  • Chainstack Reviews & Ratings
    4.8 out of 5 stars 35 Ratings
    Company Website for Chainstack
  • Bluepear Reviews & Ratings
    4.8 out of 5 stars 75 Ratings
    Company Website for Bluepear
  • Process Street Reviews & Ratings
    4.7 out of 5 stars 1,119 Ratings
    Company Website for Process Street
  • SDS Manager Reviews & Ratings
    5.0 out of 5 stars 4 Ratings
    Company Website for SDS Manager

What is FIS Trading Compliance Manager?

The FIS Trading Compliance Manager serves as a comprehensive, web-based tool designed for regulatory surveillance and compliance across various asset classes, specifically tailored to help sell-side financial institutions detect, monitor, and resolve potential trading violations throughout the entire order lifecycle by integrating alerts with rich market and client insights. This cutting-edge platform offers robust trade surveillance, regulatory reporting, and supervisory controls, which support daily assessments, post-trade reviews, best execution evaluations, and compliance with regulations such as RegNMS, RegSHO, and market manipulation laws, while also fulfilling data requests including Electronic Blue Sheets (EBS) and OATS. By creating a centralized, permission-based system, it significantly improves oversight capabilities, mitigates risks, and streamlines manual processes for organizations. Additionally, the platform's capacity to present a comprehensive view of order placements and trading practices, paired with effective alert systems and integrated data storage solutions, enables firms to refine their compliance workflows, enhance the integrity of execution data, improve management reports, and reduce reputational risks throughout their operations. Moreover, this solution plays a crucial role in helping firms navigate the complex terrain of trading compliance, ensuring they remain proactive and well-prepared in an ever-evolving regulatory environment.

What is Bloomberg Vault?

Bloomberg Vault is an all-encompassing compliance and surveillance solution designed specifically for global financial service institutions, aiding them in meeting regulatory standards and upholding business integrity. The platform enables the capturing, controlling, archiving, reconstructing, and analyzing of voice data throughout the entire trading lifecycle, applicable in both real-time and retrospective scenarios. As a high-end enterprise solution, Vault offers extensive functionalities that improve compliance processes while also benefiting the wider terminal community by archiving Bloomberg's distinct e-communications and trading data, along with critical archival, surveillance, and search capabilities for authorized reviewers. By merging a trade archive with Bloomberg Vault’s communication storage options, organizations can guarantee swift and accurate trade reconstruction. Users can conveniently access searchable data from a centralized console, which provides in-depth insights into every transaction. In addition, the platform facilitates the review and management of user permissions across various products and services, reinforcing compliance as a fundamental aspect of all operations. This ensures that firms can effectively navigate the intricate landscape of financial regulation, making Bloomberg Vault an essential asset for maintaining regulatory adherence and operational excellence. Ultimately, the platform’s robust features not only streamline compliance workflows but also enhance overall organizational efficiency.

Media

Media

Integrations Supported

Integrations Supported

Bloomberg Terminal

API Availability

API Availability

Has API

Pricing Information

Pricing not provided

Pricing Information

Pricing not provided

Supported Platforms

SaaS

Supported Platforms

SaaS
iPad

Customer Service / Support

Standard Support
Web-Based Support

Customer Service / Support

Standard Support
24 Hour Support
Web-Based Support

Training Options

Documentation Hub
Webinars
Online Training

Training Options

Documentation Hub
Webinars
Online Training

Company Facts

Organization Name

FIS

Date Founded

1968

Company Location

United States

Company Website

www.fisglobal.com/products/fis-compliance-suite/fis-trading-compliance-manager

Company Facts

Organization Name

Bloomberg

Date Founded

1981

Company Location

United States

Company Website

www.bloomberg.com/professional/product/vault/

Categories and Features

Trade Surveillance

Not specified

Categories and Features

Archiving

Not specified

Trade Surveillance

Not specified

Popular Alternatives

Popular Alternatives

OtterBlotter Reviews & Ratings

OtterBlotter

GreenFlow Technology, Inc.
Validus Reviews & Ratings

Validus

Eventus
Bloomberg MTF Reviews & Ratings

Bloomberg MTF

Bloomberg Professional Services