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Bloomberg AIM CMGR: in brief
Our experiences result from implementation and consulting projects (regulatory and contractual aspects, ca. 800 accounts) and systems evaluations at several investment companies.
Investment compliance features
• Pre trade, post trade and ex post compliance checks
• Wizard-like rule editor
• Bindings management (single, groups)
• Reusable custom definitions of assets such as "ABS" ("attributes sets")
• Generic rules & rule parameters on account basis
• Manage lists (issuer, securities, currencies, countries etc.)
• Custom data upload
• Different levels of restrictiveness
• Realtime execution of rules (e.g. for testing purposes or non-productive rules)
• Ad-hoc and historical reports
Violation manager features
• Display of ex ante (realtime) and historical violations
• Flexible violation handling depending on workflow (PM may override or may not; if not, needs authorization or has to be overridden by monitoring, etc.)
• Violation notification via email
• Violation details log (6 months)
• Set of pre-defined reports
Overall characteristics
• High system performance
• Client acccess via internet and Bloomberg Anywhere
• Extensive use of Bloomberg Data Universe in compliance rules
• Constant system enhancements by system provider
• Test environments possible
• 24/7 online support
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