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Broadridge Capital Markets from Broadridge Financial Solutions

A suite of solutions for capital markets including trading platforms, post-trade processing, securities financing, and risk management. Offers multi-asset class capabilities with straight-through processing and regulatory compliance features.

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Product analysis by function

Capital Markets Platforms for Investment Banking

Systems that support issuance, trading, and management of capital market instruments such as stocks, bonds, and derivatives.
More Capital Markets Platforms More Investment Banking ...

Order and Trade Management
(12 Yes /12 Known /14 Possible features)

Risk Management & Compliance
(14 Yes /14 Known /14 Possible features)

Market Connectivity & Data Integration
(11 Yes /11 Known /14 Possible features)

Post-Trade Processing & Settlement
(0 Yes /0 Known /14 Possible features)

Analytics & Reporting
(0 Yes /0 Known /14 Possible features)

Scalability & Performance
(0 Yes /0 Known /14 Possible features)

Security & Access Control
(0 Yes /0 Known /14 Possible features)

User Experience & Interface
(0 Yes /0 Known /14 Possible features)

Integration & Extensibility
(0 Yes /0 Known /14 Possible features)

Client Onboarding & Lifecycle Management
(0 Yes /0 Known /14 Possible features)

Deployment & Operations
(0 Yes /0 Known /14 Possible features)

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Multi-Asset Support Ability to handle equities, fixed income, derivatives, FX, and other instruments.		Broadridge Capital Markets advertises multi-asset class capabilities, indicating support for equities, fixed income, derivatives, FX, and other instruments.
Order Routing Configurable order routing to global markets and venues.		Order routing to global markets is explicitly mentioned in solution descriptions and client documentation.
High Throughput Number of orders processed per second.		No information available
Low Latency Execution Average time from order entry to execution.		No information available
Pre-Trade Risk Checks Real-time pre-trade compliance and risk checks.		Pre-trade risk and compliance checks referenced under risk management and compliance modules.
Algorithmic Trading Support for execution algorithms (VWAP, TWAP, POV, etc).		Algorithmic trading support is highlighted as part of advanced trading functionalities on product pages and brochures.
Direct Market Access (DMA) Direct connectivity to market venues without intermediaries.		DMA is offered as a capability in Broadridge Capital Markets solutions for direct market access.
Smart Order Routing Automation to optimize execution across multiple venues.		Smart order routing and venue selection described in functionality overviews.
Order Lifecycle Management Tracking and management of order status from initiation to settlement.		Order lifecycle management is a standard centerpiece for OMS solutions and called out explicitly.
Trade Enrichment Augmenting trades with additional reference data or client attributes.		Trade enrichment is included as part of post-trade services for reference data augmentation.
FIX Protocol Support Seamless integration with counterparties and venues via the FIX protocol.		FIX protocol support is prominently shown for integration with counterparties and venues.
Error Handling Robust mechanisms for error detection, reporting, and resolution.		Error detection, handling and robust workflows are documented as part of trade management.
Block Trading Handling of large block orders and negotiation workflows.		Block trading functionality with negotiation workflows included as part of large order management modules.
Order Staging Staging area for compliance and operational checks before release.		Order staging prior to execution for compliance and checks is a key feature.

Real-Time Risk Calculation Horizontal and vertical risk metrics updated live.		Live real-time risk calculation described in the platform's risk management section.
Credit Limit Monitoring Automated monitoring and control over trading limits.		Credit limit monitoring and automated checks reported as standard for regulatory compliance.
Market Abuse Detection Surveillance for insider trading, spoofing, and other abuses.		Market abuse and surveillance modules are advertised as part of compliance.
Regulatory Reporting Support for MiFID II, Dodd-Frank, EMIR, and other jurisdictional reporting.		Regulatory reporting support includes MiFID II, EMIR, Dodd-Frank, and more per product pages.
Trade Surveillance Alerts Automated alerting for breaches or anomalies.		Automated alerting and breaches through trade surveillance included in the compliance suite.
Scenario Analysis Ability to run stress testing or scenario analysis for risk exposures.		Stress testing and scenario analysis are listed as available risk management tools.
Pre-Trade Compliance Checks Prevent trades that would violate regulatory or client compliance rules.		Pre-trade compliance checks for regulations and client rules described in compliance documentation.
Post-Trade Compliance Monitoring Daily or batch-based compliance reviews.		Post-trade compliance monitoring processes described in risk and compliance modules.
Limit Breach Handling Automated actions (alerts, blocks) when limits are exceeded.		Automated alerts and blocking on limit breaches referenced in functionality documentation.
Historical Audit Trails Complete, immutable logs of all risk and compliance related actions.		Audit trails and immutable logs available as part of compliance and risk records.
Risk Dashboard Customization Ability to configure and personalize dashboards.		Risk dashboard customization named as a user personalization feature in platform overviews.
Trade Approval Workflows Multi-level workflows for high-risk or exception trades.		Multi-level trade approval workflows for exceptions and risk in included documentation.
Position Limit Management Monitoring of specific security and portfolio limits.		Position limit management is a core function for risk modules.
Flagged Entity Screening Screening of transactions or clients against watchlists.		Screening against flagged entities/watchlists is included under compliance solutions.

Exchange Connectivity Direct or via service providers to multiple market venues globally.		Direct exchange connectivity to multiple global markets is a headline feature.
Market Data Feeds Subscription and consumption of real-time and historical data.		Market data feeds for real-time and historical data available via partnerships and services.
Normalized Data Feeds Standardized interfaces across various data sources.		Data feeds are normalized and standardized per technical documentation.
Latency Monitoring Measuring and optimizing data transfer speeds.		Latency monitoring and reporting included as part of data and trading performance tools.
Data Feed Redundancy Failover mechanisms for critical data sources.		Data feed redundancy and failover is described under operational resilience.
Reference Data Management Centralized management of security identifiers, symbology, pricing, and corporate actions.		Reference data management features highlighted as key to straight-through processing.
API Integration Comprehensive APIs for inbound and outbound data.		Comprehensive API integration offered for inbound and outbound data through published APIs.
OMS/EMS Integration Interoperability with external Order/Execution Management Systems.		OMS/EMS integration explicitly offered for clients with external systems, confirmed in solution briefs.
Cross-Venue Aggregation Aggregated view of orders, quotes, and trades across venues.		Cross-venue aggregation, including aggregated view of orders and trades, indicated as reporting/OMS feature.
Connection Bandwidth Maximum data throughput supported.		No information available
Data Latency Time taken for market data to reach the client.		No information available
Multi-Timezone Support Ability to operate seamlessly in multiple regional time zones.		Multi-timezone operation is typical for global platforms; referenced in support literature.
Custom Feed Handlers Build custom adapters for new or niche data sources.		Custom feed handler support to accommodate various market data sources is mentioned in integration specs.
Data Usage Monitoring Track data consumption for cost or regulatory reasons.		No information available

Trade Confirmation Electronic delivery and affirmation of trade details with counterparties.		No information available
Clearing Connectivity Integration with central counterparties and clearinghouses.		No information available
Automated Settlement Instruction Generation and delivery of SWIFT and other settlement messages.		No information available
Settlement Cycle Support Supports multiple settlement cycles (T+0, T+1, T+2, etc.).		No information available
Fail Trade Handling Processes for managing failed or unmatched trades.		No information available
Reconciliation Tools Automated trade and position reconciliation across systems.		No information available
Trade Matching Rates Percentage of trades automatically matched and settled.		No information available
Physical and Book Entry Settlement Support for both physical and electronic settlement types.		No information available
Corporate Actions Processing Automated handling of dividends, splits, etc.		No information available
Custodian Integration Straight-through processing with custodian banks.		No information available
Settlement Exception Management Exception tracking, workflow, and resolution tracking.		No information available
Regulatory Settlement Reporting Automated compliance with settlement reporting standards.		No information available
Settlement Volume Capacity Maximum number of trades settled per day.		No information available
Fee and Tax Calculation Automated calculation and reporting of settlement fees and taxes.		No information available

Real-Time Analytics On-the-fly analysis of trades, positions, and risk.		No information available
Custom Report Builder Tools for building and scheduling tailored reports.		No information available
Regulatory Reporting Templates Pre-built templates for regulatory compliance.		No information available
Client-Specific Reporting Support for customized client and investor reports.		No information available
Data Export Capabilities Export to formats like CSV, XML, JSON, or direct API feed.		No information available
Intraday Snapshot/Drill-down Granular, timestamped analytics snapshots.		No information available
Scheduled and Event-Triggered Reports Delivery based on time or transaction triggers.		No information available
KPI Dashboard Real-time tracking of key performance indicators.		No information available
Reporting Throughput Number of reports generated per hour.		No information available
Interactive Data Visualization Graphs, charts, and interactive visuals for exploring data.		No information available
Historical Data Access Access to trade, position, and P&L history.		No information available
Role-Based Report Access Different access privileges per user type.		No information available
Automated Error/Exception Reporting Flag and document unusual data conditions.		No information available
Flexible Report Distribution Email, SFTP, API, or secure portal delivery options.		No information available

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Financial Technology Year

Broadridge Capital Markets from Broadridge Financial Solutions

Product analysis by function

Capital Markets Platforms for Investment Banking

Order and Trade Management
(12 Yes /12 Known /14 Possible features)

Risk Management & Compliance
(14 Yes /14 Known /14 Possible features)

Market Connectivity & Data Integration
(11 Yes /11 Known /14 Possible features)

Post-Trade Processing & Settlement
(0 Yes /0 Known /14 Possible features)

Analytics & Reporting
(0 Yes /0 Known /14 Possible features)

Scalability & Performance
(0 Yes /0 Known /14 Possible features)

Security & Access Control
(0 Yes /0 Known /14 Possible features)

User Experience & Interface
(0 Yes /0 Known /14 Possible features)

Integration & Extensibility
(0 Yes /0 Known /14 Possible features)

Client Onboarding & Lifecycle Management
(0 Yes /0 Known /14 Possible features)

Deployment & Operations
(0 Yes /0 Known /14 Possible features)

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Horizontal Scalability Able to add additional servers/nodes for increased workload.		No information available
Vertical Scalability Increase performance by upgrading individual components.		No information available
Concurrent User Capacity Number of users supported simultaneously.		No information available
Failover Capabilities Seamless system switchover during component failure.		No information available
Disaster Recovery Time Estimated time to recover services after disaster.		No information available
Peak Transaction Throughput Capacity to handle surges in trade/event volume.		No information available
Cloud Deployment Readiness Native or hybrid support for cloud infrastructure.		No information available
Auto-Scaling Automatic allocation of resources during high load.		No information available
Load Balancing Distribution of workload across multiple servers.		No information available
Zero Downtime Upgrades Apply updates without interrupting service.		No information available
Multi-Instance Support Run multiple concurrent instances for multi-tenant needs.		No information available
Geo-Redundant Architecture Replication in multiple data centers for resilience.		No information available
Elastic Storage Capacity Expandable storage for growing trade data.		No information available
Performance Monitoring Dashboard Real-time resource and throughput monitoring tools.		No information available

Multi-Factor Authentication Requires more than one method for login authentication.		No information available
End-to-End Encryption Trade data encrypted in transit and at rest.		No information available
Role-Based Access Control Strict user access based on permissions and roles.		No information available
Audit Logging Comprehensive logs of user and system actions.		No information available
Single Sign-On (SSO) Integrates with corporate identity services for secure login.		No information available
Data Loss Prevention Protects against unauthorized data transfer or leakage.		No information available
Intrusion Detection Monitoring and alerts for potential system breaches.		No information available
User Session Timeouts Automatic logoff after inactivity.		No information available
IP Whitelisting Restrict access to approved network addresses.		No information available
Regular Security Patching Routine application of security updates.		No information available
Data Masking/Redaction Sensitive information hidden from unauthorized users.		No information available
Penetration Testing Support Facilitates vulnerability testing and remediation.		No information available
User Password Policy Enforcement Enforces complexity and rotation requirements.		No information available
Secure File Transfer All file exchanges via encrypted protocols.		No information available

Customizable Dashboards Personalize screens for workflows, products, or user roles.		No information available
Responsive Design Adapts to all device types, including mobile and tablets.		No information available
Keyboard Shortcuts Accelerated navigation and data entry via shortcuts.		No information available
Drag-and-Drop Workflow Flexible organization of widgets, tools, and orders.		No information available
Multiple Language Support UI available in multiple international languages.		No information available
Real-Time Notifications Instant alerts and messages for trade or risk events.		No information available
Accessibility Compliance Meets WCAG/ADA accessibility standards.		No information available
Theme and Branding Adjust color schemes and logos for clients/branches.		No information available
API Access for Custom UI Support for building custom user interfaces using APIs.		No information available
Integrated Help/Tooltips In-product tips and help contextually integrated.		No information available
Bulk Upload/Download Tools Simultaneously upload or download multiple records.		No information available
UI Response Time Average user interface response latency.		No information available
Custom Alerts and Filtering Personalized alert and workflow filter settings.		No information available
Multiscreen/Window Support Arrange and move application windows/floors across screens.		No information available

Open API Framework RESTful, SOAP, or FIX APIs for all platform capabilities.		No information available
Plug-In Architecture Extensible with custom modules for analytics, compliance, etc.		No information available
Batch File Import/Export Bulk data transfer capabilities to/from other systems.		No information available
ERP/Back-Office Integration Connectivity to ERP, accounting, and finance software.		No information available
Data Transformation Tools Utilities to cleanse or reformat inbound/outbound data.		No information available
Event-Driven Messaging Trigger workflows or alerts based on business events.		No information available
External Data Vendor Integration Pre-built adapters for Bloomberg, Refinitiv, etc.		No information available
Workflow Automation Engines Custom rule or script-based workflow definition.		No information available
Reporting System Integration Push data to external or regulatory reporting engines.		No information available
Testing Sandbox Environments Provision simulated test systems for development.		No information available
Data Synchronization Frequency Time between system sync cycles.		No information available
Event Log Exporting Ability to export logs in standard formats for analytics.		No information available
Authentication Federation Single, unified identity across integrated systems.		No information available
Microservices Support Ability to leverage or expose platform microservices.		No information available

Automated KYC Checks Integration with KYC databases and workflows.		No information available
Account Opening Automation Electronic account forms and workflow automation.		No information available
Document Management Secure upload, storage, and retrieval of client documents.		No information available
Customer 360 View Consolidated view of client products, history, and interactions.		No information available
Lifecycle Alerts Notifies relationship managers about reviews, renewals, or milestones.		No information available
Relationship Tree Mapping Visualization of client, sub-account, and affiliate relationships.		No information available
Consent and Regulatory Flag Tracking Store and track required client consents.		No information available
Onboarding Time Metrics Average time to complete onboarding per client.		No information available
Client Portal Access Self-service web portal for onboarding, documentation, and status.		No information available
Digital Signature Support Capture and verify digital signatures for documentation.		No information available
Bulk Client Upload Upload multiple client profiles via template or API.		No information available
AML Screening Integration Link to Anti-Money Laundering screening tools.		No information available
Data Anonymization Tools Options to mask or anonymize client data in non-production.		No information available
Integrated Financial Profiling Risk and suitability profiling embedded in onboarding.		No information available

Deployment Models Support on-premise, cloud-hosted, or hybrid installations.		No information available
Continuous Integration/DevOps Tooling Support for CI/CD pipelines in development.		No information available
Automated Upgrades and Rollbacks Easy upgrade/rollback with minimal user disruption.		No information available
24x7 Monitoring and Alerts Comprehensive operations dashboard with alerting.		No information available
Self-Healing Processes Automated detection and recovery from common failures.		No information available
Service Uptime SLA Guaranteed minimum uptime.		No information available
Automated Backups Scheduled backup of all configuration and data.		No information available
Rollback/Test Environments Provision of environments for patch or rollback testing.		No information available
Configuration Management Central, secure management of system configurations.		No information available
Automated Log Rotation/Retention Manage and purge logs based on policies.		No information available
Dynamic Scaling Real-time scaling in response to operational load.		No information available
User Support Portal Issue tracking, ticket portal, and knowledgebase.		No information available
Automated Patching Automatic rollout of patches/updates.		No information available
Performance Benchmarking Tools Internal tools to benchmark and report platform performance.		No information available

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Financial Technology Year

Broadridge Capital Markets from Broadridge Financial Solutions

Product analysis by function

Capital Markets Platforms for Investment Banking

Order and Trade Management (12 Yes /12 Known /14 Possible features)

Risk Management & Compliance (14 Yes /14 Known /14 Possible features)

Market Connectivity & Data Integration (11 Yes /11 Known /14 Possible features)

Post-Trade Processing & Settlement (0 Yes /0 Known /14 Possible features)

Analytics & Reporting (0 Yes /0 Known /14 Possible features)

Scalability & Performance (0 Yes /0 Known /14 Possible features)

Security & Access Control (0 Yes /0 Known /14 Possible features)

User Experience & Interface (0 Yes /0 Known /14 Possible features)

Integration & Extensibility (0 Yes /0 Known /14 Possible features)

Client Onboarding & Lifecycle Management (0 Yes /0 Known /14 Possible features)

Deployment & Operations (0 Yes /0 Known /14 Possible features)

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Order and Trade Management
(12 Yes /12 Known /14 Possible features)

Risk Management & Compliance
(14 Yes /14 Known /14 Possible features)

Market Connectivity & Data Integration
(11 Yes /11 Known /14 Possible features)

Post-Trade Processing & Settlement
(0 Yes /0 Known /14 Possible features)

Analytics & Reporting
(0 Yes /0 Known /14 Possible features)

Scalability & Performance
(0 Yes /0 Known /14 Possible features)

Security & Access Control
(0 Yes /0 Known /14 Possible features)

User Experience & Interface
(0 Yes /0 Known /14 Possible features)

Integration & Extensibility
(0 Yes /0 Known /14 Possible features)

Client Onboarding & Lifecycle Management
(0 Yes /0 Known /14 Possible features)

Deployment & Operations
(0 Yes /0 Known /14 Possible features)