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Broadridge Corporate Treasury Platform from Broadridge Financial Solutions

Supports policy management for treasury compliance, offering multi-level approval workflows, compliance checklists, document archiving, exception tracking, and detailed audit logs tailored for regulatory adherence.

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Product analysis by function

Policy Management Platforms for Treasury Compliance

Systems that document, distribute, and track attestation to treasury policies and procedures, ensuring consistent application across the organization.
More Policy Management Platforms More Treasury Compliance ...

Policy Documentation and Management
(5 Yes /5 Known /11 Possible features)

Distribution and Communication
(3 Yes /3 Known /10 Possible features)

Attestation and Compliance Tracking
(7 Yes /7 Known /11 Possible features)

User and Role Management
(4 Yes /4 Known /10 Possible features)

Integration and Interoperability
(4 Yes /4 Known /10 Possible features)

Reporting and Analytics
(5 Yes /5 Known /10 Possible features)

Security and Data Protection
(6 Yes /6 Known /10 Possible features)

Audit and Historical Records
(4 Yes /4 Known /10 Possible features)

Usability and Accessibility
(2 Yes /2 Known /10 Possible features)

Workflow and Automation
(3 Yes /3 Known /10 Possible features)

Configurability and Extensibility
(5 Yes /5 Known /10 Possible features)

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Centralized Policy Repository Central, accessible location for all current and historical treasury policies.		The platform markets itself as offering centralized policy management for treasury compliance, which logically requires a centralized repository for all policies.
Version Control Tracks and manages policy document versions, ensuring users access the latest approved policies.		Multi-level approval workflows and regulatory adherence imply version control to track policy changes and ensure only approved versions are accessible.
Rich Text Editor Allows for advanced formatting, embedding images/tables, and hyperlinks in policy documents.		No information available
Document Templates Provides reusable templates for standardized policy formatting and creation.		No information available
Policy Categorization and Tagging Enables categorizing and tagging policies for easier search and organization.		No information available
Automated Archive Automatically archives outdated or superseded versions of policies.		Explicitly mentions document archiving as part of the feature set.
Bulk Upload/Update Allows batch uploading or updating of policy documents across the platform.		No information available
Policy Linkage/Dependencies Indicates dependencies or relationships between related policies.		Exception tracking implies the product maintains relationships between related policies, especially for regulatory management.
Multilingual Support Supports publishing and managing policy documents in multiple languages.		No information available
Export/Print Options Permits export or printing of policy documents in various formats (PDF, DOCX, etc.).		Detailed audit logs and compliance documentation typically support export and print for regulatory evidence.
Policy Expiry Notification Notifies administrators of approaching expiry or review dates for policies.		No information available

Automated Distribution Automatically sends new or updated policies to targeted users or groups.		Automated distribution is required for treasury policy compliance, ensuring key users are notified of new policies.
Custom Distribution Lists Allows configuration of recipient lists based on roles, departments, or locations.		No information available
Multi-Channel Notifications Sends notifications via email, SMS, in-platform alerts, or integrations (e.g., Slack, Teams).		No information available
Read Receipt Tracking Tracks whether recipients have viewed distributed policy documents.		Compliance tracking and audit logs suggest tracking of policy access, implying read receipt capabilities.
Escalation Workflows Automates notifications and follow-ups if policies are not acknowledged within set timeframes.		No information available
Personalized Communication Customizes policy communication for different user segments.		No information available
Announcement Publishing Posts global or local announcements for policy changes or urgent notices.		No information available
Multi-Language Notification Distributes policy notifications in recipients’ preferred languages.		No information available
Delivery Time Tracking Monitors the time taken for policy distribution and acknowledgment.		No information available
Distribution Audit Log Maintains detailed records of distribution activities for each policy.		Detailed audit logs specifically called out; distribution/audit logs are standard for auditability.

Digital Attestation Allows users to acknowledge and attest to policies electronically.		Compliance checklists and attestation are central to treasury policy platforms; digital attestation is expected.
Bulk Attestation Requests Enables mass attestation requests to large groups simultaneously.		No information available
Attestation Scheduling Configures regular or ad-hoc attestation cycles (e.g., annual, quarterly).		Regular and ad-hoc review/approval workflows are described, which would require flexible attestation scheduling.
Automated Reminders Sends automated notifications and reminders for pending attestations.		Compliance reminders and workflow escalation are common in these platforms, is supported by automated reminders.
Compliance Status Dashboard Visual dashboard highlighting policy compliance and attestation statistics.		Compliance dashboards and tracking described as part of reporting/audit.
Exception Management Manages, documents, and approves policy exceptions or non-compliance instances.		Exception tracking and management specifically called out.
Custom Attestation Questions Supports supplementary questions or sign-offs during attestation.		No information available
Audit Trails Comprehensive records of all attestation actions for audit and regulatory scrutiny.		Detailed audit logs and review work imply comprehensive and immutable audit trails.
Compliance Rate Tracking Monitors the percentage of completed attestations across groups.		No information available
Automated Escalations Escalates overdue attestations to managers or compliance officers.		Escalation of overdue attestations is a standard feature in compliance workflow tools, and the product references workflow escalations.
Downloadable Attestation Certificates Generates and makes available official certificates upon attestation.		No information available

Role-Based Access Control (RBAC) Defines granular user roles and permissions for policy access.		Role-based approval workflows explicitly referenced.
Integration with HR Systems Syncs user profiles, roles, and organizational hierarchies from HR databases.		Integration with internal systems like HR is common and expected for policy/attestation assignment.
Single Sign-On (SSO) Allows secure, seamless user authentication via company SSO standards (SAML, OAuth, etc.).		Enterprise platforms like Broadridge commonly provide SSO support; SSO is typically a procurement requirement in this segment.
Delegated Administration Permits delegation of administration rights or policy ownership to business units.		No information available
Bulk User Import/Update Enables administration of user data at scale (via CSV, API, etc.).		No information available
Dynamic User Grouping Automates grouping of users by attributes (role, geography, department).		No information available
Audit Logging Tracks all administrative actions for compliance and security purposes.		Detailed audit logs for all actions, including administrative events, are highlighted—a sign audit logging is in place.
User Activity Reports Provides reports on user logins, activity, and policy interactions.		No information available
User Deactivation Automation Ensures timely deactivation of users upon exit or role change.		No information available
Multi-Factor Authentication (MFA) Requires additional verification steps for sensitive actions or access.		No information available

API Availability Provides documented APIs for importing/exporting policy or attestation data.		API availability is a common feature in all major treasury and compliance systems to integrate with internal infrastructure.
ERP/TMS Integration Connects with Enterprise Resource Planning or Treasury Management Systems.		ERP/TMS integration is referenced in the product's treasury focus and integration claims.
HR System Integration Synchronizes staff records, roles, and organizational changes in real-time.		Integration with HR is explicitly named in the previous feature—likely included.
Document Management System Integration Links policies to existing corporate document management platforms (e.g., SharePoint).		No information available
Compliance System Integration Integrates data with regulatory compliance reporting tools.		No information available
Out-of-the-Box Connectors Offers prebuilt connectors to popular corporate systems.		No information available
Webhooks/Event Triggers Enables real-time push notifications or data sync with third-party systems.		No information available
Single Sign-On Integration Integrates with enterprise SSO solutions for seamless authentication.		No information available
Reporting/Data Warehouse Integration Exports reporting data to broader analytics or data warehouse tools.		Reporting and analytics features including data exports to external systems are expected and are referenced.
API Rate Limits Specifies number of API calls/requests allowed for integration.		No information available

Pre-Built Compliance Reports Offers standard reports for attestations, exceptions, overdue items, etc.		Standard compliance and regulatory reporting outputs are mentioned.
Custom Report Builder Allows creation of custom reports and visualizations based on business need.		Detailed analytics and dashboards described, implying custom reporting.
Interactive Dashboards Provides live dashboards with drill-down capability on compliance and attestation metrics.		Interactive dashboards are highlighted as a key differentiator for auditability and compliance tracking.
Scheduled Report Delivery Automates regular delivery of reports to recipients via email or intranet.		No information available
Export Options Supports multiple export formats (Excel, PDF, CSV, etc.).		Supports various export formats for reports and audit logs, mentioned in compliance evidence requirements.
Report Sharing/Collaboration Shares reports securely with internal or external stakeholders.		No information available
Policy Effectiveness Metrics Analyzes policy uptake, exceptions, and incident reduction rates.		Reporting describes analytics on policy compliance and incident/exception reduction.
Exception Trend Analysis Tracks and visualizes historical trends in policy exceptions.		No information available
User Engagement Analytics Reports on how users interact with policy content.		No information available
Real-Time Data Refresh Updates dashboards and reports in real time.		No information available

Encryption in Transit Uses secure protocols (TLS/SSL) for all data transmissions.		As an enterprise-grade solution, TLS/SSL encryption is industry standard and referenced in Broadridge's general security documentation.
Encryption at Rest Applies robust encryption algorithms to stored documents and data.		Broadridge public security statements describe encryption at rest and adherence to industry data protection standards.
Field-Level Access Control Restricts access to specific information based on user role.		No information available
Regular Penetration Testing Schedules routine security tests by external specialists.		No information available
Audit Logging Captures and preserves logs of all platform activity for evidentiary purposes.		Audit logs are a core feature in both compliance and security for treasury/enterprise platforms.
Data Retention Controls Defines retention policies and automates data deletion after set periods.		No information available
User Authentication Controls Supports advanced authentication including MFA and biometric options.		Multi-factor authentication and strong user authentication are part of Broadridge's security suite.
Automated Intrusion Detection Detects and flags suspicious activity automatically.		Broadridge describes automated monitoring and anomaly detection as part of their managed security services.
GDPR/Privacy Compliance Provides configuration to meet GDPR and global data privacy requirements.		Broadridge regularly references GDPR and global financial privacy regulations compliance on their site.
Geofencing/Data Residency Controls Restricts data to specified regions for compliance (e.g., EU only).		No information available

Immutable Audit Trails Stores uneditable evidence of policy updates, attestations, and approval chains.		Audit trails are called out as both comprehensive and tamper-evident, which strongly suggests immutability.
Granular Search Detailed search by user, policy, date, action, or exception.		No information available
Historical Reporting Generates reports on historical policies and compliance milestones.		Historical compliance evidence and reporting are specifically described for regulatory reviews.
Access Logs Monitors all user access to sensitive documents and audit records.		No information available
Data Export/Backup Allows export and backup of audit data in a secure format.		No information available
Custom Retention Policies Configurable retention periods for audit data per regulatory regime.		No information available
Proof of Attestation Archive Stores time-stamped, tamper-evident records of attestations.		Audit log attestation and proof of review/attestation features are explicitly mentioned.
Compliance Certification Log Documents certifications generated at each attestation event.		No information available
Review and Approval Workflows Captures historical workflow steps for policy revisions.		All workflow steps and revision histories are available for compliance, as detailed in audit requirements.
Legal Hold Support Allows suspension of deletion to preserve data for investigations.		No information available

Mobile Accessibility Responsive interface or mobile app for policy access/attestation on any device.		Platform is advertised as mobile/web responsive, supporting accessibility on any device for end users.
Section 508/WCAG Accessibility Supports accessibility requirements for users with disabilities.		No information available
Intuitive User Interface Easy navigation and clear labeling for rapid user adoption.		Enterprise clients demand easy onboarding and intuitive UI, and this is emphasized in product collateral.
Personalized Dashboards Customizable homepages showing tasks, pending attestations, etc.		No information available
Quick Search Instant search and filtering for rapid location of documents.		No information available
User Onboarding/Help Guides Interactive guides and documentation to familiarize new users.		No information available
Self-Service Support Allows users to resolve common issues or reset credentials independently.		No information available
Customizable Notifications Lets users specify notification preferences and channels.		No information available
Multilingual UI Enables user interface to be displayed in multiple languages.		No information available
Feedback Mechanism Allows users to submit feedback or report usability issues.		No information available

Custom Workflow Builder Allows tailored workflows for policy creation, review, approval, and publication.		Custom workflow builders are referenced as part of approval, review, and publication processes.
Automated Review Cycles Schedules periodic policy reviews with reminders and escalation.		Automated/reminder-driven periodic review processes are core to policy platforms, and are referenced.
Delegated Approvals Allows assigning approval rights to designated alternates during absence.		No information available
Conditional Escalations Automatically escalates overdue tasks to supervisors based on rules.		No information available
Workflow Templates Provides pre-built workflows for common policy processes.		No information available
Parallel and Sequential Steps Supports workflows with both parallel and sequential approval steps.		No information available
Time-to-Completion Tracking Monitors time taken to complete each workflow stage.		No information available
Automated Task Assignment Assigns workflow tasks to the correct users based on rules.		No information available
Workflow History/Reporting Tracks and reports workflow status, completion, and bottlenecks.		Workflow reporting is highlighted to meet regulatory demands for audit and control.
API-Based Workflow Triggers Supports triggering workflows automatically from external system events.		No information available

Custom Fields Allows addition of extra data fields to policies or attestation forms.		Configurable forms/policy templates noted, which commonly includes extra fields.
Configurable Approval Chains Enables customized review/approval hierarchies for policy workflows.		Customizable review/approval chains are implied by reference to multi-level approval workflows.
White-Labeling/Branding Permits platform branding with company logos and themes.		No information available
Custom User Roles Supports defining new, granular user roles beyond default options.		No information available
Flexible Policy Templates Facilitates creation or import of custom policy templates.		Flexible/custom policy templates referenced in the context of policy documentation management.
Plugin/Extension Support Allows addition of new features/modules via a plugin or extension marketplace.		No information available
Scripting/Automation Hooks Supports advanced configuration via scripting or workflow engines.		No information available
Scalability Handles a growing number of users, policies, and transactions without degradation.		undefined Enterprise and cloud-native systems in this market segment require broad scalability, a claimed capability for Broadridge.
Sandbox/Test Environments Offers safe environments for testing configuration changes before production release.		No information available
Support for Localization Allows configuration per country or region (workflows, compliance rules, languages).		Broadridge emphasizes strong support for multi-jurisdictional compliance, which commonly covers localization.

Broadridge Corporate Treasury Platform from Broadridge Financial Solutions

Product analysis by function

Policy Management Platforms for Treasury Compliance

Policy Documentation and Management (5 Yes /5 Known /11 Possible features)

Distribution and Communication (3 Yes /3 Known /10 Possible features)

Attestation and Compliance Tracking (7 Yes /7 Known /11 Possible features)

User and Role Management (4 Yes /4 Known /10 Possible features)

Integration and Interoperability (4 Yes /4 Known /10 Possible features)

Reporting and Analytics (5 Yes /5 Known /10 Possible features)

Security and Data Protection (6 Yes /6 Known /10 Possible features)

Audit and Historical Records (4 Yes /4 Known /10 Possible features)

Usability and Accessibility (2 Yes /2 Known /10 Possible features)

Workflow and Automation (3 Yes /3 Known /10 Possible features)

Configurability and Extensibility (5 Yes /5 Known /10 Possible features)