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Broadridge Structured Securities Data & Analytics from Broadridge Financial Solutions
Data and analytics platform for structured securities. Includes deal modeling, performance tracking, investor reporting, and regulatory compliance tools. Supports various structured products including RMBS, CMBS, ABS, and CLOs.
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Structured Finance Systems for Investment Banking
Solutions for creating and managing complex financial instruments and structured products.
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Core Deal Structuring & Management
(8 Yes /8 Known /10 Possible features)
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Flexible Deal Structure Modeling Ability to create and customize detailed deal structures, including waterfall logic and multiple tranches. |
Platform supports structured finance deal modeling with complex waterfall logic and tranching as evidenced by public documentation and fact sheets. | |
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Collateral Pool Setup Support for defining and maintaining pools of assets (e.g., loans, mortgages, receivables). |
Platform mentions support for multiple asset types and management, which includes collateral pool setup for loans and receivables. | |
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Multiple Asset Class Support Capability to handle diverse collateral types (RMBS, CMBS, ABS, etc.). |
Supports RMBS, CMBS, ABS, CLOs, as indicated in product description—confirming multiple asset class support. | |
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Dynamic Waterfall Configuration Allows customization of cash flow waterfalls with triggers, step-downs, OC/IC tests, and priorities. |
Broadridge’s platform advertises customizable cash flow waterfalls and deal logic for structured finance. | |
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Automated Deal Maintenance Automated annual or periodic updates to deal documents and triggers. |
System automates performance tracking and has workflow tools for periodic deal updates as seen in reference material. | |
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Version Control for Structures Track and manage versions of deal setups for audit and compliance. |
Version control and audit trail of transactions/data changes is referenced in technical documentation for compliance. | |
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Deal Replication/Cloning Ability to replicate existing deals with changes for new issuance. |
Platform enables users to replicate and adjust deal structures for future issuances, a key feature in deal origination. | |
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Limitless Tranche Creation Capacity to define a large number of tranches per deal. |
No information available | |
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Concurrent Deal Support Number of deals the system can model and maintain simultaneously. |
No information available | |
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Securitization Event Tracking Tracks key events and milestones over the lifecycle of a securitization. |
Lifecycle management and event/milestone tracking are referenced under platform's deal and investor reporting modules. |
Cash Flow Modeling & Analytics
(7 Yes /7 Known /10 Possible features)
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High-Speed Cash Flow Engine Performance of cash flow calculations for highly complex structures and scenarios. |
No information available | |
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Multi-Scenario Execution Ability to run and compare results across multiple scenario assumptions (macro, credit, prepayment, default, etc.). |
Allows for scenario analytics including macro, default, and prepayment assumptions and comparison. | |
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Waterfall Transparency Clear visualization and breakdown of cash flow allocations and triggers. |
User interface provides visual breakdown and standard waterfall transparency of cash flow allocations. | |
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Assumption Management Supports storage, comparison, and historical tracking of multiple assumption sets. |
System supports assumption management with scenario backtesting and historical reference. | |
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Stochastic/Monte Carlo Simulation Ability to run large numbers of simulation paths for probabilistic analysis. |
No information available | |
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Prepayment/Default Modelling Built-in models or flexible support for prepayment and default curves. |
Supports prepayment and default modeling for structured products as described in platform capabilities. | |
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Output Export Options Export results in various formats (Excel, CSV, PDF, XML, etc.). |
Product can export to Excel, PDF, CSV; integration export options confirmed in product material. | |
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Analytics Metrics Calculation Calculation of IRR, WAL, Credit Enhancement, OC/IC ratios, etc. |
Calculations for IRR, WAL, and credit enhancement metrics are cited as built-in analytics in documentation. | |
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Parallel Processing Ability to utilize multi-core or distributed computing for faster analytics. |
No information available | |
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Stress Testing Formal support for regulatory or internal stress test scenarios. |
The ability to run stress testing scenarios (regulatory/internal) is explicitly cited as a feature. |
Collateral Management
(7 Yes /7 Known /10 Possible features)
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Automated Data Import Seamless ingestion of collateral data from multiple sources/formats (loan tapes, XML, etc.). |
Automated data ingestion from various source files (loan tapes, etc.) is explicitly mentioned in tech sheets. | |
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Data Validation & Cleansing Pre-built rules for checking data quality and flagging anomalies. |
Platform literature references automated rules for data validation and cleansing upon import. | |
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Loan-Level Tracking Tracks individual assets throughout their lifecycle. |
Loan-level tracking is central component for performance tracking and reporting as per product details. | |
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Pool Stratification Reporting Ability to generate reports by asset stratification (by FICO, LTV, sector, etc.). |
Includes stratification and reporting by asset attributes/characteristics (FICO, LTV, etc.). | |
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Collateral Substitution Supports asset replacements, eligibility checks, and exclusion criteria. |
No information available | |
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Concentration Limit Monitoring Monitoring for regulatory or deal-specific exposure limits in collateral pools. |
Collateral concentration and limit monitoring referenced under risk management/compliance modules. | |
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Data Audit Trails Immutable, timestamped logs of changes to collateral data. |
Auditable logs for collateral data changes form part of compliance infrastructure described. | |
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Real-Time Collateral Updates How quickly the system can refresh for new/updated collateral data. |
No information available | |
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Historical Collateral Archiving Ability to preserve and retrieve prior versions of the pool. |
Ability to archive and restore previous collateral pool states is implied by historical workflow features. | |
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Integration with Master Servicer Enables secure/integrated feed with third-party or internal servicer systems. |
No information available |
Risk Management & Regulatory Compliance
(8 Yes /8 Known /10 Possible features)
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Regulatory Reporting Automation Automates the production of required reports (SEC, ESMA, etc.). |
SEC/ESMA and similar regulatory report automation is a specifically promoted feature. | |
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Compliance Rule Engine Defines, monitors, and enforces internal/external risk, compliance, and eligibility rules. |
Compliance engine for defining/enforcing rules is part of risk/compliance toolkit. | |
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Exposure Analytics Calculates exposure concentrations, country limits, and counterparty exposure. |
Exposure analytics tools calculating concentrations and counterparty risk are promoted in brochure. | |
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Scenario-Based Risk Analysis Ability to run risk analytics under regulatory and custom scenarios. |
Scenario-based risk analytics (including regulatory/custom scenarios) is a listed use case. | |
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Limitation Breach Alerts Automatic alerts for breaches of deal or regulatory limits. |
Alerts for breaches of regulatory/deal limits are referenced in compliance and automation modules. | |
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Full Audit Trails Comprehensive audit logs for every system interaction and data change. |
Comprehensive audit trail and log features referenced in compliance features. | |
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Risk Rating Integration Ability to interface with internal or external credit rating models. |
No information available | |
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Regulatory Change Updates System updates to automatically reflect major regulatory changes. |
Broadridge updates regulatory logic as compliance requirements change; highlighted in industry updates. | |
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ESG Metrics Support Capture/report on Environmental, Social, Governance investment criteria. |
No information available | |
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KYC/AML Capabilities Built-in or connected Know Your Customer / Anti-Money Laundering checks. |
Integration with KYC/AML tools can be implemented and is referenced for compliance modules. |
Reporting & Document Management
(8 Yes /8 Known /10 Possible features)
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Custom Report Builder Flexible tools to design and modify analytic, compliance, and investor reports. |
Ad-hoc and custom report builder is mentioned as part of the analytics/reporting toolkit. | |
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Automated Distribution Ability for scheduled, secure electronic delivery to stakeholders. |
Automated scheduled reporting/dissemination functionality for investors is a promoted feature. | |
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Ad Hoc Query Capability Allows users to run custom, SQL-type queries on system data. |
Custom queries and data exploration is supported via dashboard/reporting modules. | |
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Multi-Format Output Supports output in PDF, HTML, DOC, Excel, and XBRL formats. |
Broadridge promotes multi-format report output (Excel, PDF, HTML) for investors and compliance. | |
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Historical Document Archiving Stores versions of investor reports and offering documents for compliance. |
Historical report archiving to support audit-readiness and compliance is included. | |
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Templated Regulatory Reports Pre-packaged templates for regulatory submissions (e.g., SEC ABS-EE, ESMA). |
Pre-packaged SEC ABS-EE/ESMA and templated regulatory filing outputs are referenced. | |
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Automated Watermarking/Branding Watermarking and branding for investor and internal reports. |
No information available | |
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Document Access Controls Granular user permissions and encryption for sensitive documents. |
Access controls for sensitive documents are available and configurable in the system. | |
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Audit-Ready Documentation Documentation and reporting built to support external/internal audits. |
Regulatory and investor reporting is described as 'audit-ready.' | |
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Bulk Report Generation Speed Capacity for generating multiple large reports in parallel. |
No information available |
Integration & Interoperability
(7 Yes /7 Known /10 Possible features)
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Open API Access Availability of RESTful or SOAP APIs for external integrations. |
API access and integration capabilities are a focus in the product’s technical description. | |
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Real-Time Data Feeds Support for connecting real-time asset or market data streams (Bloomberg, Reuters, etc.). |
Real-time data integrations for market/securities feeds are available; integration with Bloomberg/Reuters noted. | |
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Batch Import/Export Bulk data upload/download capability for integration with upstream/downstream systems. |
Batch data import/export available for large/complex collateral pools as per specs. | |
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SFTP/FTP Connectivity Secure file transfer support for data exchange. |
SFTP/FTP connections supported for external data transfer and reporting delivery. | |
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Legacy System Interfaces Adaptors/connectors for legacy banking and risk systems. |
No information available | |
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Single Sign-On (SSO) Integrated user authentication with enterprise directories (LDAP, Azure, etc.). |
SSO capabilities (LDAP, SAML, Azure) referenced for enterprise clients. | |
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Event Notification Webhooks Real-time push notifications to external systems. |
No information available | |
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Custom Integration Toolkit Tools and documentation for custom connectors and middleware. |
Custom integration/API toolkit referenced for bespoke and third-party system connections. | |
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Configurable Data Mapping Ability to map and transform incoming or outgoing data structures. |
Supports mapping of third-party data formats to internal models as part of onboarding. | |
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Maximum Simultaneous Integrations How many simultaneous integration jobs the system can support. |
No information available |
Security & Data Protection
(9 Yes /9 Known /10 Possible features)
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End-to-End Encryption Data is encrypted at-rest and in-transit using industry standards. |
Broadridge states that it uses standard encryption for data at-rest and in-transit. | |
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Role-Based Access Control (RBAC) Granular security based on user roles and responsibilities. |
Role-based access controls configurable at multiple levels according to compliance data sheet. | |
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Multi-Factor Authentication (MFA) Requires multiple credentials for user access. |
Broadridge provides for multi-factor authentication for secure client access. | |
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Regular Penetration Testing System is subject to regular third-party or internal security testing. |
Regular third-party and client-driven penetration/security testing is referenced in security information. | |
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Audit Logging Detailed, tamper-evident logs of system activity. |
Detailed system and data change logs are maintained as part of audit/compliance posture. | |
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Data Retention Policy Configuration Customizable rules for retention and deletion of sensitive data. |
Retention and data purge policies can be configured by user as required by compliance. | |
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Data Masking/Pseudonymization Protection for PII during analytics, testing or lower environments. |
PII/analytics masking capabilities are available for test or lower environments. | |
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Certification & Compliance Compliance with major standards (SOC2, ISO 27001, GDPR, etc.). |
Platform features compliance with standards including SOC2 and GDPR; referenced in company certifications. | |
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Intrusion Detection Live monitoring for breaches and suspicious activity. |
Active monitoring and intrusion detection are part of the managed Broadridge hosting/security solution. | |
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Disaster Recovery RPO Recovery Point Objective: Age of data that can be lost in a system outage. |
No information available |
User Experience & Accessibility
(4 Yes /4 Known /10 Possible features)
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Intuitive Interface Modern, consistent, and user-friendly UI. |
Modern, web-based UI is a core selling point for user experience. | |
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Customizable Dashboards Ability for users to tailor dashboards with preferred metrics/views. |
Users can customize dashboards and analytics widgets. | |
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Accessibility Compliance WCAG or ADA compliant for users with disabilities. |
No information available | |
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Localization/Language Support Support for multiple languages/regional settings. |
No information available | |
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In-App Tutorials/Tooltips Guided help, tooltips, and onboarding flows. |
System includes tooltips/onboarding for structured product workflows. | |
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Mobile Accessibility Optimized access for mobile/tablet platforms. |
Web-based platform is mobile/tablet-optimized according to product FAQ. | |
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Theme/Color Scheme Customization Customizable UI appearance (dark mode, etc.). |
No information available | |
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Concurrent User Support Number of users supported simultaneously without degradation. |
No information available | |
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Bookmarking/Favorites Users can bookmark frequently used reports/functions. |
No information available | |
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Session Timeout Controls Automatic logout/timeouts for security. |
No information available |
Lifecycle Automation & Workflow
(6 Yes /6 Known /10 Possible features)
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Workflow Automation Engine Configurable process flows for deal origination, approval, and servicing. |
Workflow automation is part of the platform’s structured finance management tools. | |
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Task Assignment & Tracking Automated routing and monitoring of tasks to users/teams. |
Supports task assignment/tracking capabilities for deal workflow and regulatory process. | |
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Approval Hierarchies Configurable multi-level approval chains for critical actions. |
No information available | |
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Workflow SLA Monitoring Time alerts/metrics for meeting internal or regulatory service levels. |
No information available | |
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Calendar & Milestone Reminders Automatic reminders for key dates/events (e.g., payment dates, investor reporting). |
Automated and customizable calendar/events and reminders are promoted feature for investor/servicing reporting. | |
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Exception Handling Support Automated detection and routing of out-of-bounds scenarios. |
No information available | |
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Bulk Upload & Bulk Actions Ability to process large sets of records in a single action or file. |
Bulk upload/editing actions referenced for onboarding and data management. | |
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Workflow History/Audit Logs of all actions taken as part of workflow. |
Workflow audit trail with immutable logs forms part of risk and compliance posture. | |
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Custom Workflow Templates Bank- or desk-specific processes can be pre-built as templates. |
No information available | |
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Automated Notification Triggers Automatic notifications for workflow status changes. |
Automated and customizable notification triggers for workflow/event changes included. |
Technical Scalability & Performance
(5 Yes /6 Known /10 Possible features)
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Horizontal Scalability Ability to scale across multiple servers/cloud instances. |
Platform is described as highly scalable and available for large financial institutions. | |
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Load Balancing Support Distributes user and processing load automatically. |
Infrastructure documentation references automated load balancing. | |
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Real-Time Processing Capacity Number of real-time calculations or events handled per second. |
No information available | |
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High Availability SLA Guaranteed system uptime as a percentage over a year. |
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Broadridge SLA information promotes >99% annual uptime. | |
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Disaster Recovery RTO Maximum time to restore service after a disaster. |
No information available | |
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Elastic Storage System can dynamically allocate storage as needed. |
Elastic/dynamically allocated storage is mentioned as part of SaaS/cloud platform implementation. | |
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Zero-Downtime Updates Upgrades or patches can be deployed without taking the system offline. |
Update and patching handled with near-zero downtime as part of managed services. | |
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Performance Monitoring Console Dashboards for tracking system health, response times, bottlenecks. |
Performance and health monitoring tools are integrated in platform’s administration view. | |
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Max Supported Data Volume Maximum capacity of transactional and reference data. |
No information available | |
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Automated Scaling Rules System can auto-scale based on load or time-of-day. |
No information available |
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