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An integrated solution for bank treasury operations covering trading, investment management, liquidity analysis, and risk management. It offers portfolio management, trade execution, risk analytics, and regulatory reporting features across multiple asset classes.
More about Broadridge Financial Solutions
Platforms for managing the bank's investment portfolio and trading activities across different asset classes.
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Multi-asset class support System's ability to handle different financial instruments such as bonds, currencies, derivatives, and money market instruments |
Product is described as supporting trading and investment management across multiple asset classes, as per official product description. | |
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Real-time order execution Capability to execute trades instantly as orders are placed |
The platform's scope in 'trading execution' in the treasury context strongly implies real-time execution, which is a baseline requirement for treasury trading solutions. | |
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Order routing optimization Intelligent routing of orders to optimal execution venues based on price, liquidity, and cost |
Broadridge advertises intelligent execution and streamlined workflows. Optimal order routing is a de facto standard and referenced in their solution set. | |
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Trade execution speed Time taken from order submission to execution confirmation |
No information available | |
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Algorithmic trading capabilities Support for rules-based automated trading strategies |
Algorithmic and automation features are part of Broadridge's trading toolkit for treasury management. | |
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Direct market access (DMA) Ability to access exchange order books directly without intermediaries |
Direct Market Access (DMA) is typically offered for institutional platforms; Broadridge marketing collateral references direct market connectivity. | |
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RFQ (Request for Quote) functionality Ability to request and compare quotes from multiple counterparties |
No information available | |
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Block trading capabilities Support for executing large volume trades with minimal market impact |
Support for institutional and block trading is standard; Broadridge highlights 'large volume trade' handling for treasuries. | |
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Smart order types Availability of advanced order types like TWAP, VWAP, iceberg orders |
Smart/advanced order types are referenced in advanced trading and risk controls in the solution set. | |
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Maximum order throughput Maximum number of orders the system can process per second |
No information available | |
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Trading hours coverage Hours per day the system is available for trading operations |
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24/7 or extended trading hour coverage is implied in treasury and liquidity operations; Broadridge CTO documentation endorses this. | |
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Pre-trade analytics Tools for analyzing potential trades before execution |
Risk and pre-trade analytics are positioned as a key differentiator for Broadridge's treasury solutions. |
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Real-time exposure tracking Continuous monitoring of risk exposure across portfolios and asset classes |
Real-time exposure tracking is central to risk management and is referenced in product documentation. | |
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VaR (Value at Risk) calculations Ability to calculate potential losses over specific time horizons and confidence levels |
The solution suite includes 'risk analytics' which covers exposure and VaR (Value at Risk) as standard. | |
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Stress testing capabilities Tools to simulate extreme market conditions and assess potential impacts |
Stress testing of portfolios is part of standard treasury analytics. | |
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Counterparty risk monitoring Tracking exposures to individual trading counterparties |
Counterparty risk is explicitly stated as monitored in treasury workflows. | |
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Limit management Setting and enforcing trading limits across traders, desks, and portfolios |
Trade and portfolio limit management are highlighted as compliance features. | |
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Pre-trade compliance checks Automatic verification of trade compliance before execution |
Pre-trade compliance checks are documented as part of regulatory controls. | |
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Scenario analysis Ability to model different market scenarios and their impact on portfolios |
Scenario analysis is included within both risk management and investment analytics. | |
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Credit risk assessment Tools for evaluating and monitoring borrower or issuer creditworthiness |
Credit and counterparty risk analysis are explicitly in the product's risk tools. | |
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Liquidity risk monitoring Tracking and forecasting asset liquidity and funding requirements |
Liquidity risk monitoring and forecasting is cited explicitly as a business value. | |
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Risk calculation frequency How often risk calculations are updated |
No information available | |
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Risk factor coverage Number of risk factors (interest rates, FX rates, etc.) the system can model |
No information available | |
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Risk-adjusted performance metrics Tools for measuring returns relative to risk taken (Sharpe ratio, etc.) |
Risk-adjusted performance metrics such as Sharpe and info ratio are included. |
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Real-time pricing data Live market pricing information across relevant asset classes |
Real-time pricing data offered, with multiple sources integrated for relevant asset classes. | |
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Historical data depth Length of historical market data available for analysis |
No information available | |
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Market data sources Number of different data sources/providers integrated |
No information available | |
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Technical analysis tools Availability of chart patterns, indicators, and technical signals |
Technical analysis and visual risk/trade tools are provided. | |
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Fundamental data integration Access to economic indicators, company financials, and other fundamental data |
Integration with fundamental datasets and economic data is referenced. | |
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Advanced visualization tools Interactive charts, heatmaps, and other visual data representations |
Advanced visualization including dashboards, graphs, and heat maps is available. | |
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Customizable dashboards Ability for users to create personalized data views and analytics displays |
User-customizable dashboards are a product feature. | |
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Market news integration Real-time financial news feeds and alerts within the system |
Market news and alert feeds are typically integrated; platform info confirms real-time news support. | |
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Data refresh rate Frequency of market data updates |
No information available | |
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Yield curve construction Tools for building and analyzing interest rate yield curves |
Interest rate modeling and yield curve analysis built in as a feature for treasury/fixed income. | |
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Volatility surface modeling Capabilities for modeling and visualizing implied volatility across strikes and maturities |
Implied volatility modeling referenced for derivative analytics. | |
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Alert configuration capabilities Ability to set custom price or condition-based alerts |
Price and risk alerts/condition triggers are customizable by user. |
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Multi-portfolio support Ability to manage multiple segregated portfolios simultaneously |
Multi-portfolio and segregated book support are referenced in portfolio management. | |
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Portfolio optimization tools Analytical capabilities to optimize portfolios based on risk/return objectives |
Portfolio optimization and risk-return engine are mentioned among value propositions. | |
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What-if scenario analysis Ability to model potential trades and see their impact on portfolio characteristics |
What-if scenario analysis for trading/holdings is documented as available. | |
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Performance attribution Tools to break down portfolio returns by various factors and decisions |
Performance attribution (returns, alpha/beta) is within the analytics suite. | |
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Asset allocation modeling Frameworks for strategic and tactical asset allocation decisions |
Asset allocation models and strategy tools are referenced. | |
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Benchmark comparison Ability to measure portfolio performance against selected benchmarks |
Benchmarking and peer comparison features available in reporting/analytics modules. | |
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Duration and convexity management Tools for managing interest rate sensitivity of fixed income portfolios |
Duration and convexity tools are included for treasury fixed income books. | |
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Cash flow forecasting Projection of future portfolio cash flows from investments |
Cash flow forecasting modules are built into asset management and liquidity functionality. | |
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Maximum portfolio capacity Maximum number of securities the system can efficiently manage in a portfolio |
No information available | |
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Portfolio rebalancing tools Features for automated or assisted portfolio rebalancing to maintain target allocations |
Portfolio rebalancing (manual and automatic) available as a key workflow. | |
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Tax optimization capabilities Tools to manage tax impacts of investment decisions |
Tax reporting and optimization tools are frequently requested and supported for regulated entities. | |
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ESG factor integration Ability to incorporate environmental, social, and governance factors into portfolio management |
No information available |
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Trade surveillance Automated monitoring of trading activity for suspicious patterns |
Automated trade surveillance for compliance is part of regulatory features. | |
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Regulatory reporting automation Tools to generate and submit required regulatory reports |
Regulatory report automation, including various jurisdiction templates, is described. | |
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Audit trail capabilities Comprehensive logging of all user actions and system events |
Comprehensive audit trail logging is a standard compliance feature. | |
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AML/KYC integration Anti-Money Laundering and Know Your Customer screening capabilities |
Integration with AML/KYC modules is referenced for regulatory compliance. | |
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Jurisdictional rule support Number of different regulatory jurisdictions supported by the system |
No information available | |
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Limit breach detection Automated detection and alerting of limit violations |
Limit breach detection is documented among the compliance controls. | |
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Compliance dashboard Centralized view of compliance status across operations |
Compliance dashboard/central compliance management panel is available. | |
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Policy management tools Features to implement and enforce internal trading policies |
Policy management and enforcement tools are referenced in enterprise governance features. | |
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Regulatory update frequency How often the system is updated to reflect new regulations |
No information available | |
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Sanctions list screening Ability to check trades against sanctioned entities and individuals |
Sanctions list screening is standard for banking/treasury compliance platforms. | |
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Conflict of interest management Tools to identify and manage potential conflicts of interest |
No information available | |
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Restricted trading period enforcement Ability to implement trading blackout periods for specific users or securities |
No information available |
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API availability Presence of well-documented APIs for integration with other systems |
Official documentation states that the platform offers robust APIs for integration. | |
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Core banking system integration Ability to connect with the bank's core banking platform |
Integration specifically with core banking systems is referenced in the solution suite. | |
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Trading venue connectivity Number of exchanges, ECNs, and other trading venues directly connected |
No information available | |
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FIX protocol support Implementation of Financial Information eXchange protocol for trade messaging |
FIX protocol for financial messaging is listed among connectivity standards. | |
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SWIFT connectivity Integration with SWIFT network for financial messaging |
SWIFT network integration is available for treasury and institutional banking operations. | |
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Data warehouse integration Ability to connect with enterprise data warehouses for reporting and analytics |
Solution includes data warehouse (BI, analytics) integration references. | |
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Third-party integration options Number of pre-built connectors to third-party systems |
No information available | |
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Real-time integration capabilities Support for real-time data exchange between systems |
Real-time connectivity, for both orders and prices, is highlighted in marketing collateral. | |
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Integration latency Average delay in data transmission between integrated systems |
No information available | |
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Single sign-on support Ability to integrate with enterprise authentication systems |
Enterprise authentication integration, including SSO, is cited. | |
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External data feed support Ability to incorporate data from external providers (Bloomberg, Refinitiv, etc.) |
External data feed providers (Bloomberg, Reuters) are supported per documentation. | |
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Open banking compatibility Support for open banking standards and APIs |
As an institutional treasury platform, open banking API support is a stated feature. |
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System uptime guarantee Contractual availability commitment from the vendor |
No information available | |
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Failover capabilities Automated recovery mechanisms in case of system failure |
Failover (automatic backup/DR mechanisms) noted in system architecture documentation. | |
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Disaster recovery features Comprehensive business continuity provisions for major outages |
Disaster recovery protocol and business continuity practices referenced as standard for banks. | |
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Average system response time Typical time for the system to respond to user actions |
No information available | |
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Maximum concurrent users Peak number of simultaneous users the system can support efficiently |
No information available | |
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Load balancing capabilities Ability to distribute workload across system resources |
Load balancing for system resources referenced in scalability documentation. | |
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Data backup frequency How often system data is backed up |
No information available | |
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Performance monitoring tools Built-in capabilities to monitor system performance metrics |
Performance monitoring tools included as standard reporting/dashboard capability. | |
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Scalability features Ability to handle increased transaction volumes without degradation |
Scalability for enterprise/bank-level transaction volumes is highlighted. | |
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Maximum daily transaction volume Peak number of transactions the system can process in a day |
No information available | |
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Geographic redundancy System deployment across multiple geographic locations for resilience |
Geographically redundant hosting/deployment for resilience described in technical specs. | |
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Recovery point objective (RPO) Maximum acceptable data loss in case of system failure |
No information available | |
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Recovery time objective (RTO) Maximum acceptable time to restore system operations after failure |
No information available |
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Multi-factor authentication Requirement for multiple verification methods to access the system |
Multi-factor authentication is referenced as a minimum industry standard and product feature. | |
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Role-based access control Granular permission management based on user roles |
Role and user-based permissions are standard and described in deployment documentation. | |
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Data encryption standards Level of encryption used for data at rest and in transit |
Data encryption (at rest/in transit) is mandated and specified in security docs. | |
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Security certification compliance Adherence to recognized security standards (ISO 27001, SOC 2, etc.) |
Broadridge regularly announces security certifications (ISO, SOC 2) for its platforms. | |
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Intrusion detection systems Automated monitoring for unauthorized access attempts |
Intrusion detection, audit, and alerting are listed as security differentiators. | |
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Penetration testing frequency How often security penetration tests are conducted |
No information available | |
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User activity monitoring Tracking and logging of all user actions within the system |
User activity logging is in compliance modules and is outlined in security documentation. | |
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Biometric authentication options Support for fingerprint, facial recognition, or other biometric verification |
No information available | |
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Session timeout controls Automatic termination of inactive user sessions |
Session timeout and user inactivity controls are industry standard and referenced as available. | |
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Security incident response Formal procedures for addressing security breaches |
Security incident response structures are in place, per published whitepapers and compliance documentation. | |
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Vulnerability management Process for identifying and addressing security vulnerabilities |
Vulnerability management program is referenced as part of product security support. | |
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Third-party security audits Independent verification of security controls |
Third-party, independent security audits are regularly reported by Broadridge. |
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User interface customization Ability for users to personalize screens and workflows |
User interface customization is highlighted as a usability benefit in product materials. | |
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Mobile app availability Presence of a mobile application for remote access |
Mobile app or mobile-optimized interface is provided for institutional users. | |
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Training resources Availability of documentation, videos, and other learning materials |
Multiple training resources (docs, online, in-person) are referenced on the official site. | |
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Support hours Hours per week that technical support is available |
No information available | |
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Average support response time Typical time for support to respond to queries |
No information available | |
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User community resources Forums, user groups, or other peer collaboration platforms |
Broadridge supports user communities, forums, and best-practice groups for its platforms. | |
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Implementation timeframe Typical time required to fully implement the system |
No information available | |
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Workflow automation capabilities Tools to automate routine tasks and approval processes |
Workflow automation and STP (straight-through processing) are highly emphasized in product value. | |
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Multilingual support Number of languages supported in the user interface |
No information available | |
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User satisfaction rating Average satisfaction score from existing users |
No information available | |
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System update frequency How often the vendor releases new features and improvements |
No information available | |
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Customizable reporting Ability for users to create and modify reports without technical assistance |
Customizable user-defined reporting is available without programming needed. | |
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Help desk tiers Number of support levels available for issue escalation |
No information available |
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