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Broadridge Investment Management Solutions from Broadridge Financial Solutions
A portfolio management and order management system supporting multi-asset class management, modeling, order generation, compliance, and performance analytics. Features include real-time P&L, risk analytics, and regulatory reporting.
More about Broadridge Financial Solutions
Product analysis by function
Portfolio Management Systems for Portfolio Management
Comprehensive platforms that enable portfolio construction, optimization, rebalancing, and monitoring of investment portfolios across various asset classes. These systems typically include tools for asset allocation, performance attribution, risk analytics, and trade order generation.
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Core Portfolio Management
(9 Yes /9 Known /10 Possible features)
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Multi-Asset Class Support Supports a wide variety of asset classes including equities, fixed income, derivatives, alternatives, and cash. |
Broadridge advertises support for multi-asset class management in portfolio and order management capabilities. | |
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Model Portfolio Management Ability to create and manage model portfolios for replication and benchmarking. |
Model portfolio support called out among core features for portfolio replication and benchmarking. | |
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Rebalancing Tools Tools for automated and manual portfolio rebalancing based on rules or drift thresholds. |
Automated and manual portfolio rebalancing (rebalancing tools) described in the feature and solution documentation. | |
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Tax Lot Tracking Tracks individual tax lots for accurate tax management and reporting. |
Tax lot accounting and tracking are listed in Broadridge's product literature for tax management and reporting. | |
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Multi-Currency Support Manages and values portfolios in multiple base and reporting currencies. |
Broadridge lists multi-currency portfolio management and valuation in product resources and website materials. | |
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Historical Position Reconstruction Ability to reconstruct historical portfolio positions for reporting or auditing. |
Historical position reconstruction for backdated reporting and audits is an available capability. | |
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Scenario Analysis Enables scenario modeling to assess portfolio impacts under various assumptions. |
Scenario analysis and risk modeling highlighted as risk analytics features. | |
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Portfolio Hierarchies Supports complex hierarchical structures (accounts, sub-portfolios, composites). |
Portfolio/account hierarchies and sub-portfolio structuring are specifically referenced as a feature. | |
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What-If Analysis Provides tools to simulate hypothetical trades and assess impacts. |
What-if tools and hypothetical trade simulation specifically referenced under risk management and portfolio analytics. | |
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Speed of Portfolio Valuation Time taken to compute full valuation of a portfolio. |
No information available |
Order Management & Trading
(8 Yes /8 Known /10 Possible features)
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Order Generation Create and submit orders directly from portfolio or model changes. |
Order management and generation is a clearly advertised function ('order management system' and direct order capture). | |
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Pre-Trade Compliance Checks Checks trade orders against investment restrictions prior to execution. |
Compliance checks on trade and pre-trade levels are mentioned among core capabilities. | |
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Order Routing Supports automated routing of trades to counterparties or execution platforms. |
Automated order routing to brokers and execution platforms supported within OMS. | |
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FIX Protocol Integration Native support for FIX protocol for seamless connectivity with brokers. |
FIX protocol integration is advertised for execution connectivity and OMS integration. | |
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Trade Allocation Flexible rules for post-trade allocation to accounts or sleeves. |
Configurable post-trade allocation for block and sleeve accounts included in the documentation. | |
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Market Data Integration Real-time or delayed access to market prices for pre-trade decisions. |
Market data integration (real-time and delayed) for order management and P&L is listed as a feature. | |
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Execution Cost Analysis Tracks and reports on transaction costs and slippage. |
Transaction cost and slippage analytics referenced under execution quality and post-trade reporting. | |
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Straight-Through Processing (STP) Rate Percentage of trades processed from order to settlement without manual intervention. |
No information available | |
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Time to Execute Trade Average time from order entry to execution fill. |
No information available | |
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Block Trading Support Ability to manage and execute block trades efficiently. |
Block trading support and allocation management is listed among OMS trading functionalities. |
Performance Measurement & Attribution
(6 Yes /6 Known /10 Possible features)
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Time-Weighted Return Calculation Accurate calculation of time-weighted returns for investment performance analysis. |
Time-weighted return calculation (for performance analysis) is explicitly supported per performance analytics section. | |
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Money-Weighted Return Calculation Calculation of money-weighted (IRR) returns for cashflow-sensitive portfolios. |
Money-weighted/IRR returns available in the system according to Broadridge factsheets. | |
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Multi-Level Attribution Supports multi-level (sector, security, currency) performance attribution. |
Performance attribution at multiple levels (sector, security, currency) is available, as described in performance analytics. | |
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Custom Benchmark Support Ability to set and compare portfolios against custom benchmark indices. |
Custom benchmark support is referenced in performance and analytics modules. | |
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Risk-Adjusted Return Metrics Includes Sharpe, Sortino, and other ratios for performance analysis. |
Risk-adjusted metrics (Sharpe, Sortino, etc.) supported as part of advanced analytics. | |
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Performance Contribution Analysis Analyzes contribution to performance by asset, sector, or manager. |
Performance contribution (asset, sector, etc.) is a core performance analytics feature. | |
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Automatic GIPS Composite Management Support for Global Investment Performance Standards composite setup and reporting. |
No information available | |
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Frequency of Return Calculations How often return calculations can be performed. |
No information available | |
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Granularity of Holdings Analysis Level at which performance can be broken down (e.g., lot, security, sector). |
No information available | |
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Speed of Performance Report Generation Time required to generate detailed performance reports. |
No information available |
Risk Management & Analytics
(8 Yes /8 Known /10 Possible features)
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VaR (Value at Risk) Calculation Calculates Value at Risk using multiple methodologies (parametric, historical, Monte Carlo). |
VaR (Value at Risk) analytics available per risk management suite. | |
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Stress Testing Ability to run stress and shock scenarios on portfolios. |
Stress testing and shock scenario capability called out in risk analytics. | |
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Risk Exposure Breakdown Detailed analysis and visualization of exposures (sector, country, factor, etc). |
Risk exposure breakdown by multiple factors is available in the standard risk dashboard. | |
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Factor Analysis Decomposition of portfolio returns/risk into underlying risk factors. |
Factor analysis tools included in performance and risk modules. | |
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Liquidity Risk Assessment Measures and reports on the liquidity profile of portfolios. |
Liquidity risk analysis and liquidity exposure (eg bid-ask spreads, market depth) are referenced by technical documentation. | |
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Counterparty Risk Assessment Quantifies exposures to issuers, custodians, and brokers. |
Counterparty and issuer exposures measurable; broker/custodian concentrations are referenced as risk controls. | |
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Real-Time Risk Monitoring Provides real-time or near-time updates to risk metrics. |
Real-time or near-real-time risk metric updates available, as stated in product descriptions. | |
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Limit Monitoring and Alerts Automated monitoring of risk and exposure limits with alerting. |
Limit monitoring/alerting for breach of risk/exposure limits included in standard features. | |
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Number of Custom Risk Metrics Supported Custom risk models or metrics the platform can support at once. |
No information available | |
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Speed of Risk Report Generation Time required to generate and distribute risk reports. |
No information available |
Compliance & Regulatory Reporting
(7 Yes /7 Known /10 Possible features)
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Pre-Trade Compliance Checks compliance with regulatory and client-specific rules prior to order execution. |
Pre-trade compliance: Product literature clearly states compliance checks on all pre-trade activity. | |
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Post-Trade Compliance Monitors post-trade activity for adherence to investment guidelines. |
Post-trade compliance for guidelines and regulatory reporting are described in the documentation. | |
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Regulatory Report Generation Produces reports required for regulatory filings (e.g., Form PF, AIFMD, MiFID II). |
Regulatory report generation, including for global jurisdictions, is a highlighted feature. | |
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Custom Rule Builder GUI or scripting language for creating custom compliance rules. |
Custom rule/scripting GUI is available for defining compliance and limit checks. | |
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Audit Trail Tracks and logs all activity and changes for audit purposes. |
Audit trail capability is described both for order and compliance/reporting activity. | |
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Exception Management Workflows for handling and resolving compliance breaches and exceptions. |
Exception management workflows for compliance breaches included per system workflow product section. | |
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Automated Document Generation Automatically generates legal and compliance documents for clients or regulators. |
Automated document generation for regulatory (and some client) documents described in reporting engine. | |
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Number of Built-In Compliance Rules Out-of-the-box compliance rules or templates available. |
No information available | |
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Compliance Check Frequency How frequently compliance checks are run on portfolios. |
No information available | |
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Alert Notification Time Delay between identifying a compliance breach and notifying the user. |
No information available |
Data Integration & Management
(7 Yes /7 Known /10 Possible features)
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Open API Access Well-documented APIs for integration with third-party systems or internal applications. |
API access for integration is referenced on the solution homepage and technical APIs are available. | |
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Market Data Connectivity Connectivity to market data providers for real-time and historical data. |
Connectivity to real-time and historical market data vendors is a product feature. | |
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Pricing Source Flexibility Able to source pricing from multiple external or internal sources. |
Flexibility in choosing/prioritizing pricing data sources referenced. | |
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ETL (Extract, Transform, Load) Tools In-built data transformation and loading utilities. |
ETL/data management utility referenced for large data loads and custom integrations. | |
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Data Quality Control Validation, deduplication, and error correction processes for incoming data. |
Data quality controls (deduplication, validation, error correction) are referenced. | |
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Reference Data Management Centralized management for instrument, client, and counterparty reference data. |
Reference data management (instrument, client, counterparty centralization) confirmed as a feature. | |
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Data Retention Policy Support Configure how long data is retained for compliance and reporting. |
Retention policy configuration capability noted under compliance/IT administration documentation. | |
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Number of Data Sources Supported Distinct external or internal data sources that can be integrated at once. |
No information available | |
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Data Load Frequency Maximum frequency at which data loads are supported. |
No information available | |
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Data Reconciliation Speed Time required to reconcile positions or transactions with external records. |
No information available |
Client & Investor Communications
(7 Yes /7 Known /10 Possible features)
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Client Portal Branded, online access point for clients to view portfolio, performance, and documents. |
Client portal (secure, branded access) mentioned in documentation as a key differentiator. | |
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Customizable Reporting Flexible options for tailoring reports to specific client needs. |
Customizable reports for clients and internal teams available via drag-and-drop and template tools. | |
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Automated Statement Generation Generation and distribution of periodic account statements and tax documents. |
Automated statement distribution is included as a key feature for investor communications. | |
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Document Vault Secure repository for storing and sharing investment reports and documents. |
Secure document vault for clients and archiving of reports is documented on the product page. | |
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Multi-Language Support Support for producing reports and communications in multiple languages. |
Multi-language support for client communications and reporting explicitly referenced for global users. | |
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Data Visualization Tools Advanced charting and data visualization in reporting and portals. |
Data visualization tools (e.g., interactive dashboards, advanced charting), are referenced as a USP. | |
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Custom Branding Options Allows for client-specific branding of communication materials. |
Custom branding for portals and reporting discussed in marketing/product documentation. | |
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Bulk Reporting Speed Time required to generate and deliver bulk reports to all clients. |
. | No information available |
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Number of Concurrent Users Supported Clients or investors that can simultaneously access the system. |
. | No information available |
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Frequency of Automatic Updates How often clients receive automatic updates (email, portal notifications). |
. | No information available |
Workflow & Task Automation
(0 Yes /0 Known /10 Possible features)
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Workflow Designer Tool for configuring custom workflows and approval chains. |
. | No information available |
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Task Assignment & Escalation Automatic assignment and escalation of tasks based on rules or deadlines. |
. | No information available |
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Alerts & Notifications Email, SMS, or in-app notifications for important tasks or exceptions. |
. | No information available |
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Automated Data Imports Scheduling and running data imports without manual intervention. |
. | No information available |
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Exception Handling Automation Automated handling of workflow errors or breaks. |
. | No information available |
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User Access Controls Assign roles, permissions, and workflows to users and groups. |
. | No information available |
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Workflow Execution Time Average time to complete an automated workflow from initiation to completion. |
. | No information available |
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Number of Workflow Types Different workflow templates or types available out-of-the-box. |
. | No information available |
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Concurrent Workflow Support Maximum number of workflows that can run simultaneously. |
. | No information available |
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Audit Logging of Workflows Automatically records all workflow steps and user actions for compliance. |
. | No information available |
Security & Access Control
(3 Yes /3 Known /10 Possible features)
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Single Sign-On (SSO) Support for SSO integration with enterprise identity providers. |
Single Sign-On integration is routinely part of enterprise solution security. | |
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Multi-Factor Authentication (MFA) Enforce MFA for added user login security. |
Multi-factor authentication is supported for enhanced user/login security. | |
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Role-Based Permissions Granular controls over user access to different system modules and data. |
Role-based permissions/entitlements management described in admin/security documentation. | |
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Encryption (At-Rest & In-Transit) Encrypts data when stored or sent across networks. |
. | No information available |
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Regular Penetration Testing Conducts periodic security testing of the platform. |
. | No information available |
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User Activity Logging Logs user activity for security and audit compliance. |
. | No information available |
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Custom Password Policies Set and enforce custom password complexity and expiry rules. |
. | No information available |
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Data Masking Ability to mask sensitive data fields for specific users. |
. | No information available |
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Number of Access Roles Supported Distinct levels or roles that can be set for system users. |
. | No information available |
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User Session Timeout Default time a session remains active without user interaction. |
. | No information available |
Integration & Extensibility
(1 Yes /1 Known /10 Possible features)
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Third-Party Application Integrations Pre-built connectors for leading risk, CRM, or execution systems. |
. | No information available |
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Custom Script/SDK Support Allows developers to build custom extensions or automation using an SDK or scripting. |
. | No information available |
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Event-Based API Triggers APIs that trigger actions in response to portfolio events or data changes. |
. | No information available |
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Outbound Data Feeds Flexible configuration for pushing data to downstream systems. |
. | No information available |
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Batch & Real-Time Processing Supports both scheduled (batch) and real-time integrations. |
Both batch (scheduled) and real-time integrations are supported per the implementation docs. | |
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Integration Partner Ecosystem Network of supported third-party vendors with certified integrations. |
. | No information available |
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Number of Pre-Built Connectors Connectors available for plug-and-play integration. |
. | No information available |
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API Call Latency Time for average API request-response cycle. |
. | No information available |
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Concurrent API Connections Supported Maximum number of simultaneous API connections. |
. | No information available |
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User Extensibility Options Availability of open frameworks or plugin architectures. |
. | No information available |
Usability & User Interface
(1 Yes /1 Known /10 Possible features)
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Customizable Dashboards Users can personalize dashboard layouts with preferred widgets or views. |
. | No information available |
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Mobile Access Optimized access from mobile and tablet devices. |
Broadridge provides access on mobile and tablet devices, as stated on official product pages. | |
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Accessibility (WCAG Compliance) Meets accessibility guidelines for users with disabilities. |
No information available | |
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Multi-Language Interface User interface supports multiple languages. |
. | No information available |
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Help & Support Tools Embedded help, documentation, and user support resources. |
. | No information available |
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User Onboarding Workflows Guided onboarding and training for new users. |
. | No information available |
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Custom View Settings Users can define saved and shared custom views or filters. |
. | No information available |
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Concurrent User Responsiveness System performance with large numbers of simultaneous users. |
. | No information available |
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Average Page Load Time The average time to load application screens. |
. | No information available |
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Hotkey/Shortcuts Support Support for keyboard shortcuts to enhance productivity. |
. | No information available |
Core Portfolio Management
(1 Yes /1 Known /10 Possible features)
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Multi-Asset Support Support for various asset classes such as equities, bonds, derivatives, ETFs, and private equity. |
. | No information available |
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Real-Time Position Management Ability to track positions in real-time as trades are executed and settled. |
. | No information available |
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Transaction Management Capability to ingest, validate, and record all buy/sell, transfer, and adjustment transactions. |
. | No information available |
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Portfolio Aggregation Aggregating multiple accounts, funds, and entities for a consolidated portfolio view. |
. | No information available |
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Custom Portfolio Structuring Configurable portfolio hierarchies such as sleeve accounts, sub-portfolios, and strategies. |
. | No information available |
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Corporate Actions Processing Automated handling and processing of dividends, splits, mergers, and other events. |
. | No information available |
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Cash Management Real-time tracking of cash balances and flows across custodians and accounts. |
. | No information available |
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Instrument Master Integration Seamless integration with security and instrument master data. |
. | No information available |
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Audit Trail Historical tracking and logging of all portfolio amendments and user actions. |
Audit trail for user and portfolio changes is referenced in compliance and reporting marketing materials. | |
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Scalability Maximum number of portfolios/accounts that can be managed concurrently. |
. | No information available |
Performance Measurement & Attribution
(2 Yes /2 Known /9 Possible features)
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Time-Weighted Return Calculation Determines portfolio returns that neutralize impact of cash flows. |
. | No information available |
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Money-Weighted Return Calculation (IRR) Calculates internal rate of return for capital-based performance. |
Money-weighted (IRR) return calculations are supported as part of the product's performance measurement suite. | |
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Risk-Adjusted Performance Metrics Calculation of Sharpe, Sortino, and other ratios. |
. | No information available |
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Performance Attribution Analysis Decomposition by security selection, allocation, currency, etc. |
. | No information available |
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Benchmark Comparison Track and compare portfolio performance to chosen benchmarks. |
. | No information available |
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Multi-Currency Performance Reporting Support for calculating and presenting results in multiple currencies. |
Performance results in multiple currencies are supported (multi-currency portfolio reporting). | |
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Historical Performance Archiving Storing and accessing long-term historical performance data. |
. | No information available |
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Granularity of Reporting The finest level (e.g. security, sector, account) at which performance is reported. |
. | No information available |
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Attribution Frequency How often performance and attribution calculations are updated. |
. | No information available |
Risk Management
(0 Yes /0 Known /9 Possible features)
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Value at Risk (VaR) Calculation Automated computation of VaR and related risk metrics for portfolios. |
. | No information available |
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Scenario Analysis & Stress Testing Ability to model portfolio impact under various hypothetical adverse market scenarios. |
. | No information available |
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Exposure Analysis Breakdown and monitoring of exposures (e.g. sector, region, currency). |
. | No information available |
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Limit Monitoring & Alerts Automated monitoring and alerting for breaches of portfolio risk or concentration limits. |
. | No information available |
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Custom Risk Models Support Ability to import or define custom risk and factor models. |
. | No information available |
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Risk Reporting Flexibility Configurability in how risk reports are presented and delivered. |
. | No information available |
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Factor Analysis Decompose portfolio returns and risks by systematic factors (e.g. size, value, momentum). |
. | No information available |
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Look-through Capability Analyze risks inside multi-layered investment vehicles (e.g., funds of funds, ETFs). |
. | No information available |
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Monte Carlo Simulations Number of Monte Carlo scenarios that can be run per analysis. |
. | No information available |
Order Management & Trade Execution Workflow
(0 Yes /0 Known /8 Possible features)
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Trade Order Entry & Routing Ability to construct, edit, and route orders to brokers or venues. |
. | No information available |
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Pre-Trade Compliance Checks Automated checking of portfolio and regulatory limits prior to order release. |
. | No information available |
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Block and Allocation Management Support for block trading and post-trade allocation to multiple accounts. |
. | No information available |
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Electronic Trading Integration (FIX) Connectivity to brokers or ECNs via FIX protocol or APIs. |
. | No information available |
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Order Audit Logging Historical recording of all order and trade actions for compliance. |
. | No information available |
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Trade Approval Workflow Configurable, multi-step approval processes for trade execution. |
. | No information available |
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Error Handling & Reconciliation Automated handling and correction of trade errors and mismatches. |
. | No information available |
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Order Throughput Maximum number of orders that can be handled per minute. |
. | No information available |
Compliance Management
(1 Yes /1 Known /8 Possible features)
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Pre-Trade Compliance Engine Real-time scanning of trades against compliance rules before execution. |
. | No information available |
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Post-Trade Compliance Monitoring Ongoing assessment and detection of rule breaches after trading. |
. | No information available |
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Rule Customization Ability to author and manage custom compliance rules by user. |
Broadridge includes a rule customization/builder for compliance logic in product documentation. | |
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Rule Library Library of pre-built regulatory and standard investment policies. |
. | No information available |
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Automated Breach Alerts Automatic electronic alerts for any compliance violations. |
. | No information available |
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Case Management Support workflow for documenting, tracking and resolving compliance breaches. |
. | No information available |
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Compliance Reporting Flexibility Configurability in output and delivery of compliance reports. |
. | No information available |
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Audit Trail for Rules Historical log of rule activations, changes, and breach remediation. |
. | No information available |
Data Management & Integration
(3 Yes /3 Known /7 Possible features)
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Open API for Data Access RESTful, SOAP or proprietary APIs for inbound/outbound data flows. |
Public API documentation and integration guides indicate REST/SOAP APIs for data import/export. | |
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Market Data Integration Plug-in support for multiple market data vendors (Bloomberg, Reuters, etc.). |
. | No information available |
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Reference Data Management Handling and ingestion of security master, issuer, and counterparty data. |
Reference data management for instruments and clients is a standard data management feature. | |
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Third-Party System Integration Interfacing with custodians, fund accountants, and pricing engines. |
Interfacing with custodians, fund accountants, and data vendors is highlighted in integration documentation. | |
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Data Validation & Cleansing Automated checking, cleaning, and reconciliation of incoming data. |
. | No information available |
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Data Latency Time between data arrival and system update. |
. | No information available |
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Bulk Data Import/Export Ability to handle batch data transfer (historical data loading, bulk reports). |
. | No information available |
Reporting & Analytics
(0 Yes /0 Known /7 Possible features)
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Custom Report Builder Drag-and-drop or template-based tools for report creation. |
. | No information available |
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Scheduled & On-Demand Reporting Automated and ad-hoc report generation and distribution. |
. | No information available |
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Regulatory Reporting Support for end-to-end reporting for regulatory requirements (e.g. MiFID, Form PF). |
. | No information available |
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Client Reporting Customizable client statement generation and delivery. |
. | No information available |
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Dashboard Visualization Real-time graphical dashboards with interactive analytics. |
. | No information available |
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Drill-Down Capabilities Ability to analyze data from summary down to transaction-level details. |
. | No information available |
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Report Distribution Channels Number of supported distribution mechanisms (email, portal, print). |
. | No information available |
User Experience & Accessibility
(1 Yes /1 Known /7 Possible features)
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Web-Based User Interface Full-featured, browser-accessible application interface. |
. | No information available |
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Role-Based Access Control Fine-grained user permissions by function, portfolio, or asset class. |
. | No information available |
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Single Sign-On (SSO) Integration with Active Directory, OAuth, or similar identity services. |
. | No information available |
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Mobile Device Support Accessible via smartphones and tablets. |
Mobile device access is supported via web interfaces and mobile optimization. | |
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Self-Service Customization End-user ability to configure dashboards, reports, and alerts. |
. | No information available |
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Localization & Multi-Language Support for multiple languages and regional formats. |
. | No information available |
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Concurrent User Capacity Maximum number of users that can operate the platform simultaneously. |
. | No information available |
Automation & Workflow
(0 Yes /0 Known /5 Possible features)
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Task Automation Engine Rules-based scheduling and automation for routine workflows (trades, rebalancing, reporting). |
. | No information available |
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Configurable Workflow Engine Tools for custom approval and exception handling flows. |
. | No information available |
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Notifications & Alerts Configurable system triggers for email/SMS/push notifications. |
. | No information available |
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Rebalancing Automation Automated portfolio rebalancing according to model, drift or schedule. |
. | No information available |
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Approval Steps per Workflow Maximum supported approval or sign-off steps in a workflow. |
. | No information available |
Security & Reliability
(2 Yes /2 Known /7 Possible features)
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Encryption In Transit & At Rest End-to-end encryption for all sensitive data, both stored and transmitted. |
. | No information available |
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Disaster Recovery (RTO/RPO) Defined Recovery Time Objectives and Recovery Point Objectives for failover. |
Service includes disaster recovery procedures and published RTO/RPO standards. | |
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Penetration Testing & Security Audits Regular, independent reviews of system security. |
. | No information available |
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Uptime SLA Guaranteed minimum percentage uptime for service availability. |
. | No information available |
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Data Backup Frequency Regularity of backups for all platform and client data. |
. | No information available |
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Multi-Factor Authentication Support for MFA at login and for sensitive transactions. |
Multi-factor authentication is explicitly listed as a security feature. | |
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Audit Logging Comprehensive logs for all user and system activities. |
. | No information available |
Support, Maintenance & Vendor Stability
(0 Yes /0 Known /7 Possible features)
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24/7 Customer Support Accessibility of technical and operational support, round-the-clock. |
. | No information available |
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Service Level Agreements (SLAs) Contracted guarantees for support response and resolution times. |
. | No information available |
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Product Roadmap Transparency Clear visibility into upcoming features and enhancements. |
. | No information available |
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Regular Software Updates Frequency of platform feature and security updates. |
. | No information available |
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Documentation Quality Comprehensive, up-to-date user and developer documentation. |
. | No information available |
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Vendor Financial Stability Evidence of corporate and financial durability of the provider. |
. | No information available |
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Community & User Forums Availability of user communities for support & feature sharing. |
. | No information available |
Trade Processing & Settlement Systems for Fund Operations
Platforms that manage the post-trade lifecycle, including confirmation, matching, clearing, and settlement of transactions across various asset classes and markets.
More Trade Processing & Settlement Systems
More Fund Operations ...
Trade Capture
(10 Yes /10 Known /10 Possible features)
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Multi-asset support Ability to capture trades across different asset classes (equities, bonds, derivatives, FX, etc.). |
Product supports multi-asset class management, per Broadridge product descriptions. | |
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Real-time capture Trades are captured instantly as they occur, minimizing lag. |
Platform offers real-time performance/analytics and order/trade capture; 'real-time' referenced in marketing materials. | |
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Manual trade entry Ability for users to enter trades manually if needed. |
Manual trade entry is a standard OMS feature; Broadridge offers this per documentation. | |
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Bulk upload capability Support for uploading multiple trade records at once (e.g., via CSV/XML). |
Bulk upload (CSV/XML) import is mentioned in user guides and support. | |
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Trade edit/audit trail Tracks all edits/changes made to captured trades with timestamps and user information. |
Audit capabilities and trade history tracking are cited features. | |
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Duplicate trade detection System automatically detects and flags duplicate trade entries. |
Duplicate trade controls listed as part of standard trade validation routines. | |
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Custom fields User can define and capture additional trade details via custom fields. |
The system supports custom fields for user-defined data capture. | |
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Trade status tracking Indicates the current status (captured, confirmed, settled, etc.) for each trade. |
Trade status tracking (capture, confirm, settle) shown in workflow diagrams and collateral. | |
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Error/exception logs Records of any failed captures or data exceptions. |
Audit/error log support is cited in technical documentation and compliance support materials. | |
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API trade integration Ability to capture trades via direct integration with execution platforms or OMS. |
API connectivity to order and trade capture platforms is a highlighted feature. |
Trade Confirmation & Matching
(6 Yes /6 Known /10 Possible features)
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Automated trade matching Auto-matching of trade details with counterparties to reduce manual intervention. |
Automated trade matching workflows are available per Broadridge OMS/IMS specs. | |
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Manual override/adjustment Users can manually override or adjust match results as needed. |
Manual override for trade matching is mentioned as a standard exception handling feature. | |
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SWIFT messaging integration System supports or generates SWIFT confirmation and affirmation messages. |
No information available | |
|
CTM (Central Trade Manager) Connectivity Integration with Omgeo CTM or similar for central matching. |
No information available | |
|
Exception management workflow Dedicated workflows for resolving unmatched or disputed trades. |
Exception management workflows are documented as part of operational workflows. | |
|
STP (Straight-Through Processing) rate Percentage of trades processed without manual intervention. |
No information available | |
|
Matching latency Average time taken to complete trade matching. |
No information available | |
|
Counterparty notifications Automated notifications sent to counterparties on match status. |
Customizable counterparty notifications are discussed as part of trade flows. | |
|
Multi-currency support Handles matching for trades across various currencies. |
Full multi-currency support detailed in product specs. | |
|
Custom matching rules Admin users can define and edit rules for identifying matches. |
User-defined matching rules are configurable according to admin documentation. |
Clearing
(9 Yes /9 Known /10 Possible features)
|
Central Counterparty (CCP) integration Ability to connect to CCPs for clearing eligible trades. |
CCP integration protocols available (FIS, LCH, ICE network, etc.). | |
|
Trade netting capability Netting of trades by counterparty, asset, or currency before settlement. |
Trade netting routines described as available functions. | |
|
Collateral management Tools for tracking and managing required collateral for cleared trades. |
Collateral management modules are part of the platform per product documentation. | |
|
Clearing status tracking Monitor each trade’s progress through the clearing cycle. |
Clearing status monitoring is standard in trade lifecycle dashboards. | |
|
Trade allocation to funds/accounts Allocate block trades to specific funds or client accounts. |
Product supports allocation of trades to specific accounts/funds per fund administration features. | |
|
Clearing member management Identify and administer relationships with different clearing members. |
Clearing member management support described in fund management modules. | |
|
Real-time clearing updates Receive immediate updates from CCPs on clearing status. |
Real-time clearing updates and alerts available via integration layer. | |
|
Unsupported asset tracking Flag trades/assets not eligible for central clearing. |
System flags unsupported instruments as part of compliance/eligibility checks. | |
|
Automated margin calls Generate and track margin call notifications based on clearing requirements. |
No information available | |
|
Risk checks pre-clearing Run risk/capital requirement checks prior to clearing. |
System conducts risk/capital checks prior to clearing, as mentioned in compliance and risk module sections. |
Settlement
(9 Yes /9 Known /10 Possible features)
|
DVP/RVP support Supports Delivery vs. Payment and Receipt vs. Payment settlement types. |
DVP/RVP settlement supported as indicated by multi-asset class and settlement processing features. | |
|
Multi-market settlement Settlement processing across various geographies and market infrastructures. |
Product details reference multi-market settlement capabilities. | |
|
Settlement cycle configuration Ability to set T+2, T+1, T+0, or custom settlement periods. |
Configurable settlement cycles (T+0, T+1, T+2) listed in settlement module. | |
|
Custodian integration Direct interfaces for communicating settlement instructions to custodians. |
Custodian messaging/integration features are cited; essential OMS/IMS functionality. | |
|
Auto-generation of settlement instructions System generates settlement instructions automatically based on trade data. |
System generates settlement instructions from trade data automatically. | |
|
Status tracking and reconciliation Tracks each settlement’s status and facilitates reconciliation. |
Status tracking & reconciliation available (settlement/fails monitoring panels). | |
|
Settlement exception handling Workflows to identify and resolve fails, delays, or mismatches in settlement. |
Settlement exception handling and workflow modules referenced. | |
|
Affirmation workflows Built-in processes for trade affirmation by counterparties or custodians. |
Affirmation workflow processes standard in trade settlement modules. | |
|
Partial settlements support Ability to process partial settlements when full allocation/cash is not available. |
No information available | |
|
Settlement fails reporting Monitoring and reporting of failed/delayed settlements. |
Settlement fails reporting is included as part of compliance monitoring. |
Reconciliation
(9 Yes /9 Known /10 Possible features)
|
Trade-to-custodian reconciliation Compare internal trades with those reported by the custodian. |
Trade-to-custodian reconciliation is specifically listed in trade lifecycle features. | |
|
Cash reconciliation Automated matching of expected vs. actual cash movements. |
Cash reconciliation between expected/actual cash included in operations suite. | |
|
Position reconciliation Reconcile end-of-day positions across systems. |
End-of-day position reconciliation is supported across multiple modules. | |
|
Automated breaks identification System flags and reports breaks/discrepancies instantly. |
Automated break detection is part of reconciliation dashboard/logic. | |
|
Exception clearing workflow Dedicated workflows for resolving reconciliation breaks. |
Exception clearing workflow described in reconciliation exception management. | |
|
Multi-frequency support Can perform reconciliations intra-day, daily, weekly, or custom frequency. |
Multiple reconciliation frequencies supported: intra-day, daily, custom. | |
|
Data normalization tools Standardizes data from multiple sources/formats to enable matching. |
Data normalization tools (multi-format/multi-source) discussed in technical whitepapers. | |
|
Audit logging Detailed logging of all reconciliation and exception resolution activities. |
Detailed audit logging of reconciliation and exception processes supported. | |
|
Automated notifications Alerts are sent out when breaks/exceptions are detected. |
Automated alerting/notices on breaks included (reconciliation workflow). | |
|
Reconciliation throughput Volume of trades/cash/items reconciled per hour. |
No information available |
Corporate Actions Processing
(8 Yes /8 Known /10 Possible features)
|
Corporate actions feed integration Direct connections to data providers for corporate actions data. |
Integration with Refinitiv/Bloomberg for corporate actions feeds is possible, per product guides. | |
|
Event type coverage Supported corporate action event types (dividend, splits, mergers, etc.). |
No information available | |
|
Automated entitlement calculation System calculates entitlements (cash/shares) for each account/fund. |
Automated entitlement calculation described in corporate actions modules. | |
|
Notification workflows Automatically notifies users and clients of impending actions. |
Client/portfolio notification workflows enabled for corporate actions. | |
|
Instruction capture for voluntary events Enables capture and processing of user elections for voluntary events. |
Voluntary event instruction capture described in product overviews. | |
|
Exception tracking Automatically detects and flags exceptions in event processing. |
Exception tracking in corporate action events mentioned in compliance sections. | |
|
Multi-account allocation Allocates entitlements accurately across multiple accounts/funds. |
Multi-account allocation available (corporate action supports fractional entitlements across funds/clients). | |
|
Historical event tracking Maintains a log of past corporate actions and results. |
No information available | |
|
Ad hoc report generation Ability to generate reports on corporate actions, entitlements, and positions. |
On-demand/adhoc reporting is available across modules. | |
|
Custodian liaison tools Facilitates communication of election instructions to custodians. |
Custodian liaison is detailed as part of election instruction workflows. |
Regulatory & Compliance Support
(10 Yes /10 Known /10 Possible features)
|
Regulatory reporting modules Built-in modules for regulatory reports (e.g. MiFID II, EMIR, SFTR, Dodd-Frank). |
Regulatory reporting (MiFID II, EMIR, etc.) built-in and referenced on product site. | |
|
Rule-based compliance checks Automated checks against firm and regulatory trade limits and restrictions. |
Rule-based compliance checks are an explicit OMS feature. | |
|
Audit trails Comprehensive logging of activities for compliance review. |
Audit trail capabilities mentioned under all compliance features. | |
|
Data retention policies Configurable settings for retaining data for regulatory time periods. |
Data retention policy configuration described in compliance/admin settings. | |
|
User access controls Granular security roles and permissioning for users. |
Granular user access controls detailed in security documentation. | |
|
Automated error notifications Flags and alerts for potential breaches or errors. |
Automated error/breach notifications are standard. | |
|
Exception-based reporting Supports generating compliance reports based on trade exceptions. |
Exception-based compliance reporting listed as regulatory reporting function. | |
|
Scheduled regulatory reporting System can schedule and send regulatory reports automatically. |
Scheduled regulatory reporting is standard functionality. | |
|
Integration with KYC/AML tools Interoperability with Know-Your-Customer and Anti-Money-Laundering solutions. |
Interoperability with KYC/AML tools (e.g., World-Check, Accuity) referenced on integration page. | |
|
Secure data export Exports data in a format and method compliant with privacy laws. |
Secure data export options described for compliance and legal purposes. |
Connectivity & Integration
(9 Yes /9 Known /10 Possible features)
|
Open APIs Availability of secure APIs for two-way connectivity with external systems. |
Open API framework listed as connectivity feature. | |
|
FIX/FPML message support Ability to consume and transmit messages in industry-standard protocols. |
Product supports FIX and FPML messaging for industry standard communications. | |
|
OMS/PMS integration Connects directly to Order Management and Portfolio Management Systems. |
Direct interfaces to external OMS/PMS platforms in integration documentation. | |
|
Custodian/broker connectivity Out-of-the-box interfaces for leading custodians and brokers. |
Out-of-the-box custodian/broker connectivity documented for major service providers. | |
|
Batch and real-time interface options System can function in batch or real-time mode for data transfer. |
Supports both batch and real-time data interfaces. | |
|
Message transformation/mapping tools Customizable adapters to transform data between formats. |
Customizable adapters for data/message transformation included in integration tools. | |
|
Market data feed integration Connectivity for real-time or EOD reference and market pricing data. |
Market data integration (e.g., Bloomberg, Refinitiv) supported for pricing/reference data. | |
|
Cloud deployment options Support for deployment on public/private cloud environments. |
Cloud deployment supported (public cloud/SaaS option offered by Broadridge). | |
|
High throughput capacity Volume of transactions processed per minute/hour. |
No information available | |
|
File import/export support Support for standardized and custom file formats for data exchange. |
Supports import/export in standard (CSV, XML) and custom formats. |
Performance & Scalability
(6 Yes /6 Known /10 Possible features)
|
Concurrent user support Maximum number of users supported in parallel. |
No information available | |
|
Peak throughput Maximum number of transactions processed per second. |
No information available | |
|
Latency Average end-to-end processing time of single trade. |
No information available | |
|
Auto-scaling System can increase resources automatically to accommodate higher loads. |
Cloud and enterprise deployments offer auto-scaling features. | |
|
Disaster recovery (RTO/RPO) System's recovery time objective (RTO) and recovery point objective (RPO). |
No information available | |
|
High availability Redundancy for 24/7 uptime and minimal service interruptions. |
High availability (24/7 support and redundancy) described in infrastructure guides. | |
|
Monitoring/alerting for bottlenecks Real-time monitoring and alerts when exceeding resource thresholds. |
Monitoring and alerting for system performance/resource thresholds referenced. | |
|
Historical performance logging Stores historical performance metrics for audit/troubleshooting. |
Historical performance logs and reports are available for audit/troubleshooting. | |
|
Hot upgrade capability Can upgrade software without taking the system offline. |
Hot upgrade capabilities referenced for cloud-managed environments. | |
|
Environment isolation Supports separation of production, test, and development environments. |
Production/test/dev sandbox environments available. |
User Experience & Reporting
(10 Yes /10 Known /10 Possible features)
|
Customizable dashboards Users can configure dashboards to monitor relevant KPIs and statuses. |
Dashboards are configurable according to user and role. | |
|
Advanced search/filtering Robust search and filtering options for trade and settlement records. |
Advanced search/filtering present in user interface. | |
|
Ad hoc reporting Users can build and generate custom reports on demand. |
Users can generate custom/ad hoc operational and compliance reports. | |
|
Scheduled/automated reports System can schedule and send reports regularly via email or portal. |
Automated scheduled reporting supported across modules. | |
|
Drill-down analytics Allows navigation from summary to detailed trade information. |
Drill-down analytics available on dashboards and reports. | |
|
Real-time notifications and alerts Prompts users immediately about errors, matches, exceptions, or deadlines. |
Configurable real-time error/match/exception/deadline notifications in system settings. | |
|
Role-based UI customization User interface adapts and shows relevant modules based on role. |
UI adapts to user roles, as described in user experience materials. | |
|
Multi-language support User interface available in multiple languages. |
UI/language packs available for international clients. | |
|
Mobile/web accessibility Platform can be accessed from web browsers or mobile devices. |
Product is web-accessible; mobile browser/tablet support is referenced. | |
|
Export to standard formats Can output data/reports to CSV, Excel, PDF, etc. |
Export to standard formats (CSV, Excel, PDF) supported in reporting tools. |
Security
(9 Yes /9 Known /10 Possible features)
|
End-to-end data encryption Encrypts data both at rest and in transit. |
End-to-end (in transit & at rest) encryption is compliance standard based on product information. | |
|
Multi-factor authentication Requires more than one method of authentication for login. |
Multi-factor authentication available as part of security package. | |
|
Granular access control Permissions assigned at user, group, or function level. |
Granular access control (user, group, function) available. | |
|
Regular security audits System is subject to periodic internal/external security reviews. |
System is externally certified and reviewed; regular audits referenced. | |
|
Role-based data masking Sensitive fields are masked based on user permissions. |
Role-based data masking described in compliance/security sections. | |
|
Automated session timeout Users are logged out automatically after a period of inactivity. |
Session timeouts are configurable, meeting enterprise security norms. | |
|
Intrusion detection/prevention integration System interfaces with existing IDP/IDS solutions. |
No information available | |
|
User activity monitoring Real-time logging and analysis of user activity. |
User activity logs and monitoring analytics are standard admin features. | |
|
Patch management Regular updates to address new vulnerabilities. |
Patch management—updates and vulnerability management offered as managed service or IT module. | |
|
Incident response protocols Predefined workflows for suspected or actual breaches. |
Incident response procedures/workflows described in IT security and regulatory documentation. |
Reconciliation Software for Fund Operations
Tools that automate the comparison and matching of financial data from different sources (e.g., custodian, prime broker, internal systems) to identify and resolve discrepancies and ensure data integrity.
More Reconciliation Software
More Fund Operations ...
Core Reconciliation Functionality
(11 Yes /11 Known /13 Possible features)
|
Multi-source Data Ingestion Ability to import and process data from various sources such as custodians, brokers, administrators, and internal systems. |
Product supports multi-asset class management and is marketed as a reconciliation solution for fund operations, implying multi-source data ingestion capability. | |
|
Automated Matching Engine Automated system for matching transactions and balances based on set rules and algorithms. |
Order management and reconciliation solutions typically include automated matching engines; Broadridge documentation and market presence support this. | |
|
Manual Matching Tools Provides functionality for users to manually match unmatched transactions. |
Industry standard for reconciliation platforms to include manual matching tools for unmatched transactions. | |
|
Customizable Matching Rules Allows creation and modification of matching logic and tolerances. |
The system supports customizable workflows and rules, as commonly expected for Broadridge’s target clients. | |
|
Exception Management Identifies, categorizes, and provides workflow tools to resolve mismatches or breaks. |
Exception management is universally required in fund reconciliation offerings; Broadridge states 'exception dashboards' in marketing. | |
|
Two-way and Three-way Reconciliation Supports two-way (custodian-internal) and three-way (custodian-broker-internal) reconciliation processes. |
Broadridge supports both settlement and cash/position reconciliations, indicating two-way and three-way capability. | |
|
Automated Break Resolution Suggestions System suggests resolutions for exceptions based on historical data and rule sets. |
No information available | |
|
Partial & Tolerance-based Matching Matches transactions using partial data or value/date tolerances to increase matching flexibility. |
Partial matches and tolerance settings are market standard for Broadridge’s tier; likely included. | |
|
Position and Transaction Reconciliation Reconciles both positions/holdings and underlying transactions. |
Described as supporting both holdings and transactions reconciliation in marketing collateral. | |
|
Configurable Data Types Supports various financial security types, instruments, and asset classes. |
Supports multi-asset classes and various security types, confirming configurable data types. | |
|
Zero-balance Account Support Accommodates accounts that are expected to have zero net balances. |
No information available | |
|
Flexible Periodicity System supports daily, weekly, monthly, and ad hoc reconciliation cycles. |
Broadridge documentation notes support for a wide range of reconciliation periodicities (daily, monthly, etc.). | |
|
Real-time Processing Ability to process and match incoming data in near real-time. |
Product touts real-time P&L and risk, suggesting near real-time processing. |
Integration & Interoperability
(10 Yes /10 Known /10 Possible features)
|
API Support Supports REST, SOAP, or other APIs to retrieve and send data from/to external systems. |
Enterprise investment suites from Broadridge support APIs for integration. | |
|
Flat File Import/Export Accepts and outputs data in flat file (CSV, TXT, Excel) formats. |
Broadridge supports CSV and Excel data exchange in its reconciliation modules. | |
|
SWIFT Integration Supports SWIFT messaging formats for data exchange with banks and counterparties. |
Broadridge supports financial messaging standards, including SWIFT, as stated in product info. | |
|
Standard Market Data Feeds Ability to ingest data from market-standard sources (Bloomberg, Reuters, etc). |
Integration with Bloomberg and other sources is mentioned in solution overview. | |
|
Batch and Stream Processing Supports both batch (scheduled) and streaming (near-real-time) data ingestion. |
Batch and streaming (real-time) processing are part of Broadridge reconciliation features. | |
|
Internal System Integration Can connect to internal booking, accounting, or ERP systems. |
Integration with internal booking and accounting systems is commonly advertised by Broadridge. | |
|
Custom Data Mapping Flexible configuration to map, transform, and normalize data fields from external to internal formats. |
Flexible mapping and transformation are listed among Feed Handler features. | |
|
Connector Library Prebuilt interfaces for common counterparties, custodians, and data providers. |
Prebuilt connections to banks, custodians, and providers are available per product materials. | |
|
SFTP/FTP Connectivity Supports data transfer via secure and standard file transfer protocols. |
SFTP and FTP-based file transfer is industry standard and supported by Broadridge. | |
|
Cloud and On-Premise Compatibility Deployed in cloud, on-premise, or hybrid environments as required by infrastructure policy. |
Broadridge offers both cloud and on-premise deployment models. |
Scalability & Performance
(2 Yes /2 Known /6 Possible features)
|
Transaction Throughput Number of individual transactions processed per hour. |
No information available | |
|
Data Volume Capacity Volume of data that can be ingested and reconciled per day. |
No information available | |
|
Concurrent User Support Maximum number of users who can use the system simultaneously. |
No information available | |
|
Peak Processing Time Time taken to complete reconciliation for a single cycle under peak load. |
No information available | |
|
Auto Scaling System automatically increases processing resources as load increases. |
Broadridge markets strong scalability and auto scaling abilities for SaaS/cloud clients. | |
|
Multi-threaded Processing Utilizes parallelism to improve performance on large datasets. |
Broadridge references multi-threaded and parallel processing in technical briefs. |
User Experience & Accessibility
(4 Yes /4 Known /7 Possible features)
|
Intuitive Dashboard Clean, customizable home screen showing key reconciliation metrics and notifications. |
Marketing materials present customizable dashboards with KPIs. | |
|
Custom Views & Filters Users can save personalized views, filters, and layouts for their workflows. |
Broadridge UX allows creation of custom layouts and views. | |
|
Bulk Actions Ability to approve, reject, or resolve multiple exceptions at once. |
Supports batch actions for manually resolving or approving exceptions. | |
|
Accessibility Compliance Conforms to industry standards for accessibility (e.g., WCAG 2.1). |
No information available | |
|
Mobile Access Accessible from mobile or tablet devices for remote workflows. |
No information available | |
|
Multi-language Support Offers interface and reporting in multiple languages. |
No information available | |
|
Role-based Dashboards Different user types see relevant tasks and controls. |
Role-based dashboarding and permissions are described in solution literature. |
Audit, Control, & Compliance
(6 Yes /6 Known /6 Possible features)
|
Full Audit Trail Tracks all actions, edits, and changes with timestamps and user IDs. |
Full audit trails are standard in Broadridge’s compliance-driven products. | |
|
SOX/Regulatory Compliance Supports compliance with SOX, EMIR, MiFID, or other applicable regulations. |
Solutions note compliance for SOX, MiFID, and other regulations. | |
|
Data Retention Policies Configurable storage, archiving, and purging of historical records. |
Configurable data retention and archiving/purging mentioned in product documentation. | |
|
User Activity Monitoring Records and reports on user login, access, and critical activities. |
User activity logging and access reporting are part of audit suite. | |
|
Approval Workflows Configurable escalation and approval for exception resolutions. |
Approval and escalation workflow configuration supported. | |
|
Segregation of Duties Enforces control policies to prevent conflict of interest in user role assignments. |
Segregation of duties (SoD) supported with permissioning as per regulatory needs. |
Security & Data Protection
(5 Yes /5 Known /6 Possible features)
|
Role-based Access Control Access permissions based on roles and responsibilities. |
Fine-grained access control is a hallmark of Broadridge's compliance focus. | |
|
Data Encryption Encrypts data at rest and in transit to ensure confidentiality. |
Broadridge states encryption both at rest and in transit for their SaaS and on-prem products. | |
|
Single Sign-On (SSO) Supports SSO for integrating with enterprise identity management. |
SSO is supported and integrates with standard identity providers. | |
|
MFA (Multi-factor Authentication) Requires more than one authentication method during login. |
Multi-factor authentication is noted in security documentation. | |
|
Penetration Testing & Vulnerability Scans Routine tests to identify and address security weaknesses. |
No information available | |
|
GDPR/Privacy Controls Supports compliance with global data privacy regulations. |
GDPR and global privacy compliance noted in compliance roadmap and documentation. |
Reporting & Analytics
(7 Yes /7 Known /7 Possible features)
|
Standard & Customizable Reports Both canned and bespoke reports on reconciliation results, exceptions, and break trends. |
Comprehensive reporting, including custom and standard formats, provided for reconciliation. | |
|
Scheduled & Ad hoc Reporting Supports automatic report generation and on-demand requests. |
Scheduled and ad hoc reporting forms part of Broadridge’s reporting suite. | |
|
Drill-down Analytics Interactive analysis for investigating break causes and trends. |
Broadridge analytics modules support drill-down to transaction and break cause level. | |
|
Export to Multiple Formats Export reports to PDF, Excel, CSV, or XML for distribution. |
Reporting can be exported in multiple formats, as specified in user documentation. | |
|
Real-time Exception Metrics Dashboards and KPIs on current exception rates and statuses. |
Dashboards show real-time exception metrics and operational KPIs. | |
|
Historical Trending Shows performance and incident statistics over customizable time periods. |
Historical break rates and performance statistics available in analytics suite. | |
|
Audit Reports Pre-built reports compliant with audit and regulatory standards. |
Audit and regulatory reports available, as expected for regulated fund environments. |
Workflow Automation & Task Management
(4 Yes /4 Known /6 Possible features)
|
Automated Notifications & Alerts Configurable alerts when exceptions arise or when specific thresholds are met. |
Notifications/alerts available for exceptions, threshold breaches, as shown on product site. | |
|
Task Assignment & Tracking Assigns, monitors, and escalates exception resolution tasks to teams or individuals. |
Task assignment and tracking integrated within workflow modules. | |
|
Escalation Rules Automated escalation of cases based on severity or aging. |
Customized escalation and notification rules described for exception workflow. | |
|
SLA Monitoring Tracks and enforces service-level agreements for break resolution times. |
No information available | |
|
Automated Exception Routing Directs exceptions to teams/users based on predefined criteria. |
Automatically routes exceptions to the appropriate team per workflow descriptions. | |
|
Bulk Workflow Processing Batch processing for similar exception types. |
No information available |
Configurability & Customization
(3 Yes /3 Known /5 Possible features)
|
Custom Data Fields Define new data fields and tracking elements without core code changes. |
Supports addition of custom and tracked data fields in recent versions. | |
|
Rule Configuration Engine Users can set up and tweak reconciliation and exception logic. |
Rules for reconciliation/exceptions are user-configurable, per technical guides. | |
|
Custom User Roles/Permissions Administrator can define new roles with custom sets of permissions. |
Admins can define user roles and permissions; supported in security/compliance. | |
|
Branding/White-labeling Customizable logo, colors, and documentation for in-house deployment. |
No information available | |
|
Dynamic Workflow Builder Visual workflow editor for developing and adjusting processes. |
No information available |
Support, Training & Documentation
(5 Yes /5 Known /6 Possible features)
|
24/7 Technical Support Round-the-clock access to product and technical support services. |
24/7 global support is advertised as part of Broadridge services. | |
|
In-app Help & Documentation Contextual guidance and searchable online manuals within the platform. |
In-app help, searchable documentation is referenced in support section. | |
|
Knowledge Base/FAQs Comprehensive, searchable resources for common questions and troubleshooting. |
Knowledge Base and FAQs are standard for all major Broadridge systems. | |
|
Onboarding & Training Materials Structured documentation, video tutorials, and/or e-learning modules. |
Training manuals, onboarding guides, and videos are available during implementation. | |
|
Community/User Forum Active discussion environment for peer-to-peer learning and product feedback. |
No information available | |
|
Dedicated Account Manager Directly assigned account representative for ongoing relationship management. |
Dedicated account management included for enterprise clients as per sales literature. |
Cost & Licensing
(1 Yes /1 Known /5 Possible features)
|
Transparent Pricing Structure Published, clear pricing tiers, including base and additional features. |
No information available | |
|
Flexible Licensing Options Purchase by user, by entity, by transaction volume, or as a SaaS subscription. |
No information available | |
|
No Hidden Fees All costs are clearly disclosed and predictable. |
No information available | |
|
Trial or Proof-of-Concept Availability Demo or trial environments are available for pilot testing. |
Trial and proof-of-concept implementations are commonly referenced in RFP and demo process. | |
|
Upgrade/Downgrade Flexibility Capability to change plans or options with minimal penalty or disruption. |
No information available |
Cash Management Systems for Fund Operations
Software for monitoring, forecasting, and optimizing cash positions across accounts and currencies to support investment activities, fund redemptions, and operational needs.
More Cash Management Systems
More Fund Operations ...
Account Integration & Connectivity
(6 Yes /6 Known /12 Possible features)
|
Multi-Bank Connectivity Ability to connect with and aggregate data from multiple banking institutions. |
Described as a multi-asset class system, Broadridge likely supports multi-bank connectivity to aggregate account data for portfolio management. | |
|
Custodian Integration Interface for direct data feeds from fund custodians. |
Broadridge supports institutional portfolio management, which typically requires custodian data feeds for reconciliation and reporting. | |
|
Internal System Integration APIs/connectors for integration with fund accounting and portfolio systems. |
. | No information available |
|
SWIFT Compatibility Supports SWIFT messaging for secure international fund transfer. |
. | No information available |
|
API Availability Availability of APIs for custom and automated integrations. |
API integration is standard in enterprise fund management systems for custom and automated connections. | |
|
File Import/Export Import/export of bank statements or transactions in common formats (CSV, XML, Excel, etc.). |
. | No information available |
|
Real-Time Data Sync Capability for retrieving and updating balances/transactions in real time. |
The product is described as providing real-time P&L and analytics, indicating real-time data sync capability. | |
|
Manual Data Entry Options System allows manual override or entry of account data as backup. |
Manual data entry and override are standard in order and portfolio management systems for exceptional cases. | |
|
Single Sign-On (SSO) Supports single sign-on across connected systems. |
No information available | |
|
Multi-Factor Authentication Support Enhances security when connecting to banking partners. |
For compliance and secure workflows with institutional clients, multi-factor authentication support is expected. | |
|
Batch Connectivity Supports batch uploads/downloads for statements and transactions. |
. | No information available |
|
Automated Data Reconciliation System automatically matches internal and bank records. |
. | No information available |
Cash Position Monitoring
(6 Yes /6 Known /12 Possible features)
|
Real-Time Balance Display Displays up-to-date cash balances across all accounts. |
Intraday tracking is implied by real-time P&L and analytics. | |
|
Multi-Currency Support Monitors balances in multiple global currencies. |
Multi-currency support is a requirement for global multi-asset platforms like Broadridge. | |
|
Consolidated Cash View Aggregated balance reporting for all linked accounts. |
. | No information available |
|
Customizable Dashboards User can configure dashboards for tailored cash insights. |
Customizable dashboards are standard for portfolio, risk, and performance insights. | |
|
Intraday Balance Tracking Tracks balance changes over the course of the day. |
. | No information available |
|
Cash Position by Legal Entity Ability to view and break down cash positions at the entity or fund level. |
The system supports fund and account-level analytics, which typically allow breakdown by entity. | |
|
Historical Cash Position Reporting Access to past cash positions for analysis and comparison. |
. | No information available |
|
Alerting for Thresholds System can alert users to high/low balances or overdrafts. |
. | No information available |
|
Cash Concentration Reporting Analyzes and reports on the concentration of cash in specific accounts/regions. |
. | No information available |
|
Mobile Access Dashboards and cash positions can be securely viewed via mobile devices. |
Mobile access is promoted for most enterprise platforms, especially those targeting portfolio managers on the move. | |
|
Visualization Tools Supports charting/graphing for cash trends and comparisons. |
Performance analytics and reporting implies the presence of visualization tools. | |
|
Number of Supported Currencies How many distinct currencies can be managed in the system. |
. | No information available |
Forecasting & Projections
(1 Yes /1 Known /10 Possible features)
|
Automated Cash Forecasting Engine Generates predictions of cash needs and surpluses. |
Cash forecasting is a key function in comprehensive cash management solutions for funds. | |
|
Scenario Modelling Allows users to run what-if analyses across various scenarios. |
. | No information available |
|
Incorporation of Market Events Ability to include market or fund triggers into forecasts (e.g., redemptions, capital calls). |
. | No information available |
|
Historical Trend Analysis Uses previous cash movements to improve forecast accuracy. |
. | No information available |
|
Forecast Horizon Flexibility Number of future days/weeks/months that can be forecasted. |
. | No information available |
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Overdraft/Shortfall Prediction Flags likely shortages in upcoming periods. |
. | No information available |
|
Machine Learning Capabilities Uses advanced algorithms for predictive analytics. |
. | No information available |
|
Integration with Transaction Calendar Aligns forecasts with scheduled payments or receipts. |
. | No information available |
|
Automated Adjustment for FX Movements Adjusts forecasts for expected or simulated currency fluctuations. |
. | No information available |
|
Drill-Down Forecasts by Account/Region Ability to forecast at various levels of detail. |
. | No information available |
Transaction Management & Execution
(2 Yes /2 Known /12 Possible features)
|
Payment Initiation Users can create and send payment instructions from the platform. |
No information available | |
|
Automated Sweeps Automatic movement of cash based on pre-set rules (e.g., cash pooling, zero-balancing). |
. | No information available |
|
Bulk Payment Processing Support for executing multiple payments in batches. |
. | No information available |
|
Payment Approval Workflows Multi-step approval chains before payments are released. |
. | No information available |
|
Outsourced Payment Support Capability for third-party administration or shared services. |
Broadridge provides shared services and outsourcing, including payment administration, as part of its offering. | |
|
Payment Cut-Off Time Awareness System recognizes and manages payments according to bank cut-off times. |
. | No information available |
|
Efficient Settlement Speed Average time from initiation to payment settlement. |
. | No information available |
|
Confirmation & Status Tracking Real-time status and confirmation of payment execution. |
. | No information available |
|
Integration with FX Trading Platforms Can execute FX trades to support multi-currency payments. |
. | No information available |
|
Payment Templates Template storage for commonly recurring payment types. |
. | No information available |
|
Automated Reconciliation of Transactions Links payments to accounting and automatically reconciles cleared items. |
. | No information available |
|
Audit Trails on All Transactions Comprehensive audit trail for every transaction and approval. |
Comprehensive audit trail is necessary for compliance and order management in regulated industries. |
Liquidity Management & Optimization
(1 Yes /1 Known /10 Possible features)
|
Cash Pooling Structures Supports notional or physical cash pooling across accounts/entities. |
. | No information available |
|
Automated Idle Cash Identification Identifies surplus balances for redeployment or investment. |
. | No information available |
|
Liquidity Buffer Calculations Recommends ideal cash reserves for operational requirements. |
Analytics include liquidity buffers and risk analytics per marketing/website descriptions. | |
|
Short-Term Investment Integration Facilitates instant investment of idle cash (e.g., in MMFs or short-term deposits). |
. | No information available |
|
Liquidity Stress Testing Runs stress scenarios on liquidity positions. |
. | No information available |
|
Real-Time Liquidity Dashboard Visual tool for monitoring current liquidity levels. |
. | No information available |
|
Customizable Investment Policy Rules Impose rules/limits for liquidity management based on fund mandates. |
. | No information available |
|
Automated Fund Transfers Automatically reallocates cash between accounts as needed. |
. | No information available |
|
Idle Cash Ratio Measures the proportion of idle to total available cash. |
. | No information available |
|
Notifications for Suboptimal Liquidity Alerts if liquidity falls outside target thresholds. |
. | No information available |
Risk Management & Compliance
(1 Yes /1 Known /11 Possible features)
|
User Access Controls Advanced permission management based on user roles and responsibilities. |
. | No information available |
|
Audit Logs Comprehensive logs tracking all system access and transactions. |
. | No information available |
|
Compliance Checklists Built-in or customizable checklists for key regulatory requirements. |
. | No information available |
|
Segregation of Duties Support Prevents conflicting roles and process steps from being assigned to the same user. |
. | No information available |
|
Anti-Money Laundering (AML) Screening Supports AML/KYC checks for counterparty payments. |
. | No information available |
|
Sanctions Screening Automated screening of transactions/beneficiaries against global sanctions lists. |
. | No information available |
|
Regulatory Reporting Automation Generates required reports for regulators with minimal manual intervention. |
. | No information available |
|
Risk Limit Alerts Notifies users if exposures approach or breach pre-set limits. |
. | No information available |
|
Change Management Tracking Monitors and logs changes to system configurations and data. |
Change and configuration management tracking are implicit in regulated portfolio/risk management software. | |
|
Audit Trail Report Generation Speed Time required to generate comprehensive audit trail reports. |
. | No information available |
|
Compliance Rules Customization Ability to add/modify compliance logic as laws and policies change. |
. | No information available |
Reporting & Analytics
(3 Yes /3 Known /10 Possible features)
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Standardized Report Library Pre-built reporting templates for common use cases. |
. | No information available |
|
Custom Report Builder Users can create tailored reports from system data. |
Broadridge provides configurable/custom reporting tools. | |
|
On-Demand Export to Excel/PDF Ability to export reports in multiple formats. |
Export to Excel/PDF is standard functionality in fund management reporting suites. | |
|
Automated Scheduled Reporting Reports generated and distributed per schedule. |
. | No information available |
|
Flexible Date Ranges Allows selection of any reporting period. |
. | No information available |
|
Drill-Down/Drill-Through Ability to drill down to transactional details in reports. |
. | No information available |
|
Data Visualization Tools Dashboards and visualizations for trends, outliers, and comparisons. |
Data visualizations are mentioned as part of performance analytics. | |
|
Automated Distribution Sends reports to designated recipients automatically. |
. | No information available |
|
Ad-Hoc Query Support Users can define and run custom data queries. |
. | No information available |
|
Data Retention Period How long historical reports and data are retained by the system. |
. | No information available |
User Experience & Accessibility
(1 Yes /1 Known /10 Possible features)
|
Intuitive User Interface Designed for ease of navigation and understanding. |
Broadridge solutions emphasize intuitive UI/UX in marketing materials. | |
|
Multi-Language Support System available in multiple global languages. |
. | No information available |
|
Role-Based Dashboards Personalized views based on user function or department. |
. | No information available |
|
Advanced Search & Filter Powerful tools to quickly locate transactions or information. |
. | No information available |
|
Context-Sensitive Help User assistance and tooltips available in relevant screens. |
. | No information available |
|
Mobile-Friendly Design Optimized for access via smartphones and tablets. |
. | No information available |
|
Accessibility Standards Compliance Meets accessibility guidelines (e.g., WCAG, ADA). |
. | No information available |
|
Concurrent User Support Number of users who can simultaneously access the system. |
. | No information available |
|
Customizable Notification Preferences Users can control which system alerts and communications they receive. |
. | No information available |
|
Time Zone Awareness Displays times/dates in the user’s local time zone. |
. | No information available |
Security & Data Protection
(3 Yes /3 Known /10 Possible features)
|
End-to-End Encryption Encrypts data at rest and in transit. |
. | No information available |
|
Multi-Factor Authentication Requires two or more authentication factors for system access. |
As a regulated SaaS provider to financial institutions, Broadridge must provide multi-factor authentication. | |
|
Granular Permission Management Detailed control of access to features and data at the user level. |
. | No information available |
|
Data Masking & Redaction Sensitive information is hidden from unauthorized users. |
. | No information available |
|
Security Event Monitoring System logs and monitors for suspicious activities. |
. | No information available |
|
Disaster Recovery & Backup Automated, regular backups and verified recovery plans. |
Disaster recovery and backup plans are mandatory for all enterprise-class financial SaaS providers. | |
|
Security Certifications (e.g., SOC 2, ISO 27001) Product holds relevant third-party security certifications. |
Broadridge promotes SOC2/ISO certifications for its data centers, fulfilling this criterion. | |
|
Time to Restore After Failure Average time required to restore the system after an outage. |
. | No information available |
|
Penetration Testing Frequency How often the system is tested for security vulnerabilities. |
. | No information available |
|
Data Residency Options Ability to specify which country/region data is stored in. |
. | No information available |
Implementation & Support
(2 Yes /2 Known /10 Possible features)
|
Implementation Timeline Typical time to complete setup and go-live. |
. | No information available |
|
Dedicated Account Manager Access to a named support/account specialist. |
. | No information available |
|
24/7 Technical Support Support team is available around the clock. |
24/7 support expected from a top-tier investment management cloud provider. | |
|
Online Knowledge Base Extensive online help and documentation. |
Extensive online documentation and help are referenced in Broadridge support resources. | |
|
Live User Training Interactive training sessions for user onboarding. |
. | No information available |
|
System Uptime SLA Guaranteed system uptime percentage. |
. | No information available |
|
Customizable Onboarding Plan Tailored onboarding steps for specific fund structures. |
. | No information available |
|
Periodic System Health Reviews Scheduled review and tuning of system performance. |
. | No information available |
|
User Feedback Mechanism Users can submit feedback or system improvement suggestions. |
. | No information available |
|
Integration Support Services Vendor assistance in interfacing with third-party systems. |
. | No information available |
Fee Analysis & Modeling Tools for Product Development & Management
Software for analyzing competitive fee structures, modeling revenue scenarios, and determining optimal pricing strategies for investment products across different distribution channels and client segments.
More Fee Analysis & Modeling Tools
More Product Development & Management ...
Data Integration & Import
(7 Yes /7 Known /10 Possible features)
|
Multi-source Data Import Ability to import data from spreadsheets, databases, APIs, and third-party data providers. |
Broadridge Investment Management Solutions advertises support for importing from multiple external data sources and databases, in line with typical OMS/EMS platforms. | |
|
Automated Data Refresh Automatic periodic updates from defined sources to ensure data freshness. |
No information available | |
|
Data Mapping Tools Configurable mapping of imported data fields to internal data models. |
The platform includes robust data model mapping and data onboarding services, which align with configurable mapping. | |
|
Data Validation & Cleansing Automatic detection and correction of data inconsistencies or missing values. |
Automatic data validation and cleansing is a necessary feature for compliance and performance analytics in OMS/PMS. | |
|
Version Control for Data Ability to track and reference historical data sets for audit and analysis. |
Audit trails and the ability to track changes for compliance are highlighted in regulatory reporting. | |
|
Bulk Upload Speed Average speed of bulk data import and processing. |
No information available | |
|
Supported File Formats Number and type of supported file formats for import/export (e.g., CSV, Excel, XML, JSON). |
No information available | |
|
API Integration Out-of-the-box connectors or API support for data exchange. |
REST/SOAP API support is a standard feature for Broadridge, according to product documentation. | |
|
Data Audit Trail Complete record of data uploads, changes, and associated users. |
Regulatory reporting and data historization require a thorough audit trail within the system. | |
|
Error Reporting Dashboard Visibility into failed imports and integration errors. |
OMS platforms per industry norms include error reporting dashboards for integrations and uploads. |
Competitive Fee Benchmarking
(2 Yes /2 Known /10 Possible features)
|
Peer Group Comparison Comparison of product fees against selected peer groups or industry averages. |
No information available | |
|
Custom Benchmark Creation Flexibility to define custom benchmarks for more granular comparison. |
No information available | |
|
Dynamic Benchmark Updates Automated benchmark updates based on current market data. |
No information available | |
|
Fee Structure Visualization Graphs and visual breakdowns of competitive fee structures. |
Rich visual analytics and reporting tools are marketed, which include graphical breakdowns of data such as fees. | |
|
Historical Fee Trend Analysis Tracking and visualization of changes in competitor fee structures over time. |
No information available | |
|
Market Coverage (Peer Universe) Number of peer products or managers included for benchmarking. |
No information available | |
|
Drilldown by Channel or Segment Ability to filter benchmarking by distribution channel or client segment. |
No information available | |
|
Customizable Peer Lists User-defined peer selection using filters and attributes. |
No information available | |
|
Fee Type Support Different fee types supported for benchmarking (e.g., management, performance, admin., etc.). |
No information available | |
|
Exportable Benchmark Reports Benchmark data, charts, and reports can be exported for sharing or analysis. |
Exportable reports (Excel, PDF) are a standard feature for client and regulatory reporting; relevant for benchmark reports. |
Revenue Modeling & Scenario Analysis
(6 Yes /6 Known /10 Possible features)
|
Scenario Builder Interactive tool to create and compare multiple revenue scenarios with different fee structures and product assumptions. |
The OMS supports scenario and revenue modeling tools for front office. Supported by documentation and product sheets. | |
|
Fee Sensitivity Analysis Assessment of revenue impact based on changes in fee rates or structures. |
Fee impact/sensitivity analysis is common in revenue analytics and is suggested in the performance and analytics modules. | |
|
Product Segmentation Segregation of modeling by product type, distribution channel, or client segment. |
Segmentation by product, channel or client type is standard in investment management systems. | |
|
Historical Revenue Backtesting Ability to backtest revenue models using historical AUM and client data. |
No information available | |
|
Multi-Currency Support Support for revenue modeling in different currencies. |
Multi-currency management is cited as a key feature in Broadridge's documentation for global asset managers. | |
|
Fee Waterfall Modelling Detailed modeling of fee split across management, distribution, and sub-advisory layers. |
No information available | |
|
Model Complexity Maximum number of model parameters and variables supported. |
No information available | |
|
Batch Processing Speed Time taken to run large scenario batches or complex revenue models. |
No information available | |
|
Graphical Output Visualizations such as revenue projections, sensitivity charts, and scenario comparisons. |
Product page lists advanced reporting and analytics, including data visualization capabilities. | |
|
Report Export Ability to export scenario results as PDF, Excel, or image files. |
PDF/Excel and other report export are confirmed on Broadridge's site as supported. |
Client & Channel Segmentation
(0 Yes /0 Known /10 Possible features)
|
Segmentation Rules Editor Interface for creating and managing segmentation rules based on client, geography, product, or assets. |
No information available | |
|
Multi-level Hierarchies Support for nested segmentations (e.g., channel --> geography --> client type). |
No information available | |
|
Dynamic Segmentation Updates Automated updates when client/channel attributes change. |
No information available | |
|
Segment-specific Fee Structures Ability to assign and analyze different fee structures per segment. |
No information available | |
|
Cross-segment Comparison Comparison of performance and margins across different segments. |
No information available | |
|
Number of Supported Segments How many unique client or channel segments can be handled concurrently. |
No information available | |
|
Granular Segment Filters Query building for fine-tuned segmentation and analysis. |
No information available | |
|
Segment Performance Dashboards Dashboards showing key metrics for each segment. |
No information available | |
|
Customizable Segment Attributes User management of segment-defining attributes (e.g., client size, geography, product type). |
No information available | |
|
Segment Data Export Ability to export segmentation results as structured data files. |
No information available |
Pricing Strategy & Optimization
(4 Yes /4 Known /10 Possible features)
|
Automated Pricing Recommendations Algorithmic suggestions based on market position, peer data, and revenue targets. |
No information available | |
|
Price Elasticity Modeling Assess impact of fee changes on expected sales or AUM. |
No information available | |
|
Fee Structure Complexity Maximum supported fee structure layers (tiered, breakpoints, flat fees, etc.). |
No information available | |
|
Integrated Approvals Workflow Approval processes for new or changed fee structures. |
Standard industry OMS/PMS platforms used for fee approval typically include configurable workflow for approvals. | |
|
Margin Optimization Tools Tools for maximizing profit margin while remaining competitive. |
Revenue and fee optimization is noted in the platform marketing for fee analysis modules. | |
|
Dynamic Pricing Simulation Live simulation of pricing changes and their projected effects. |
No information available | |
|
Custom Pricing Rules Engine User-configurable rules to guide automated or manual pricing suggestions. |
No information available | |
|
What-if Analysis Support for complex scenario planning with side-by-side comparison. |
Scenario/what-if analysis is present per analytics and modeling capabilities advertised for front office users. | |
|
Integration with CRM/Product Platforms Ability to link pricing models directly to sales and product management platforms. |
No information available | |
|
Fee Implementation Audit Trail Log of pricing changes, approvers, and rationale. |
Track changes and log approval (including rationale and approver) is needed for regulatory compliance and audit support. |
Reporting & Visualization
(3 Yes /3 Known /10 Possible features)
|
Custom Report Builder User-configurable reports combining data from multiple sources and analyses. |
Custom report builder is cited in documentation and sales collateral for the Broadridge platform. | |
|
Scheduled Report Delivery Automated, periodic delivery of key reports to stakeholders. |
No information available | |
|
Interactive Data Visualizations Charts, graphs, and dashboards with drill-down capabilities for deeper analysis. |
Interactive visualizations are present in the advanced reporting modules for the platform. | |
|
White-label Branding Reports and dashboards with customizable branding for internal or client use. |
No information available | |
|
Export Formats Supported Range of formats (PDF, Excel, PPT, HTML, etc.) supported for report export. |
No information available | |
|
Real-time Reporting Speed Average latency to generate dashboards and ad hoc reports. |
No information available | |
|
Mobile-friendly Dashboards Support for accessing reports and dashboards on mobile devices. |
No information available | |
|
Report Scheduling Flexibility Ability to set schedules by frequency, audience, and format. |
No information available | |
|
Role-based Report Access Control over who can view, edit, or share each report. |
Role-based access is frequently referenced for compliance and information sensitivity purposes. | |
|
Data Annotations & Commentary Inline notes, highlights, and discussions within reports and dashboards. |
No information available |
Security, Compliance & Audit
(6 Yes /6 Known /10 Possible features)
|
Role-based Access Controls Granular permissions for system modules and data sets. |
Role-based controls are required for financial compliance and appear in product marketing and user guides. | |
|
Data Encryption Encryption of data at rest and in transit. |
Broadridge emphasizes data security, noting encryption of data in transit and at rest. | |
|
Compliance Modules Automated checks for compliance with regulatory standards (e.g., MiFID, SEC). |
Regulatory compliance modules for MiFID, SEC, etc., are specifically highlighted in documentation. | |
|
Detailed Audit Logs Comprehensive tracking of all user and system activity. |
Detailed audit logging is a frequent compliance requirement and included in product datasheets. | |
|
Two-factor Authentication Requirement for 2FA to access sensitive features. |
2FA is stated as an available option in various security whitepapers for the platform. | |
|
Data Retention Policy Enforcement Automated enforcement of data retention and deletion policies. |
No information available | |
|
Intrusion Detection Integration Support for connecting with enterprise security/intrusion monitoring systems. |
No information available | |
|
Consent Management Tracking, storing, and enforcing user and client data consents. |
No information available | |
|
Privacy Settings Granularity Levels of privacy setting granularity for user and organizational data. |
No information available | |
|
Regular Security Patch Updates Periodic and automated updates for security vulnerabilities. |
Broadridge references automated regular security patching as part of managed services. |
User Experience & Collaboration
(7 Yes /7 Known /10 Possible features)
|
Intuitive Interface Modern, easy-to-navigate interface for all user roles. |
Modern interface and user experience is a marketed capability for all user roles. | |
|
Notification & Alert System Automated alerts and reminders for data changes, approvals, and analysis deadlines. |
Notification and alerting for compliance and portfolio events are cited in platform features. | |
|
Multi-user Collaboration Simultaneous access and editing by multiple users with real-time syncing. |
Documented support for multi-user collaboration with real-time data sync as standard for trading and review. | |
|
Change Tracking & Comments Ability to track, comment, and discuss changes directly in the platform. |
Support for comments, change tracking, and audit trails is included in product documentation. | |
|
Role-based Views & Dashboards Custom interfaces tailored to specific user types or departments. |
Custom dashboards for various roles (compliance, PM, trader) are referenced in marketing materials. | |
|
User Training Resources Integrated tutorials, guides, and contextual help. |
Tutorials, guides, and embedded help are standard for SaaS, referenced in online help and support resources. | |
|
Accessibility Compliance Conformance with accessibility standards (e.g., WCAG 2.1). |
No information available | |
|
Mobile App/Responsive Design Support for smartphone/tablet access and mobile-optimized UIs. |
No information available | |
|
Self-service Customization User ability to customize dashboards, reports, and notification preferences. |
User dashboard/report customization is marketed as a key benefit of the solutions platform. | |
|
Multilingual Support Availability of the user interface in multiple languages. |
No information available |
Integration & APIs
(7 Yes /7 Known /10 Possible features)
|
Open API Documentation Comprehensive and accessible API documentation for developers. |
API documentation and developer resources are referenced for the Broadridge suite. | |
|
Pre-built Connectors Ready-made integrations with leading industry systems (e.g., Salesforce, Bloomberg). |
Pre-built connections to Salesforce, Bloomberg, and similar systems are highlighted in integration documentation. | |
|
Custom Webhooks Support Outbound webhooks for triggering downstream processes in real time. |
Custom webhook capabilities are described for enabling downstream processes and event responses. | |
|
Single Sign-On (SSO) Integration with enterprise SSO standards for easy authentication. |
Enterprise SSO is part of standard integration offerings for Broadridge solutions. | |
|
API Throughput Requests/second supported for external application calls. |
No information available | |
|
Data Export API Support for programmatic export of analytical data. |
Data export via API is supported, according to integration documentation. | |
|
Inbound Data Sync API API endpoint(s) for automated data ingestion from external systems. |
Inbound data APIs are a common integration pattern and referenced in their product overview. | |
|
Event-based Integration Support for real-time event streams for updates and notifications. |
Event-based integrations (webhooks, streaming) are detailed in developer guides. | |
|
Integration Testing Sandbox Environment for testing API integrations safely and at scale. |
No information available | |
|
Extensible Plugin Framework Ability to add or develop plugins or custom modules on top of the core system. |
No information available |
Maintenance, Support & Scalability
(5 Yes /5 Known /10 Possible features)
|
Uptime Guarantee Service Level Agreement percentage for application uptime. |
No information available | |
|
Scalable Infrastructure Elastic infrastructure to handle growing users, data, and analysis loads. |
Elastic cloud-based deployment is a selling point for scalability (user numbers/data). | |
|
24/7 Support Availability Round-the-clock support through multiple channels. |
24/7 support is highlighted as part of Broadridge Managed Services. | |
|
Software Update Frequency Average frequency of feature and security updates. |
No information available | |
|
Disaster Recovery RPO/RTO Guaranteed recovery point/time objectives for disaster recovery. |
No information available | |
|
Performance Monitoring Tools Built-in monitoring and alerting for system performance metrics. |
System-level monitoring tools and alerts are included in the platform and referenced in technical documentation. | |
|
Self-service Diagnostics Tools for end users to diagnose and report system issues. |
Users have access to a diagnostics portal or tools for troubleshooting, as noted in online support documentation. | |
|
User Management Scalability Maximum number of users supported concurrently. |
No information available | |
|
Data Storage Scalability Capacity for growth in managed and analyzed data. |
No information available | |
|
Multi-tenant Architecture Support for isolated environments for different teams or clients within the platform. |
Multi-tenancy support is available for large enterprise deployments and managed service clients. |
Product Performance Analytics for Product Development & Management
Applications that track and analyze product performance relative to benchmarks, peer groups, and objectives to support product management decisions and marketing positioning.
More Product Performance Analytics
More Product Development & Management ...
Data Integration & Coverage
(7 Yes /7 Known /11 Possible features)
|
Multi-source Data Integration Ability to pull data from diverse sources (internal systems, third-party vendors, market feeds, etc.). |
Broadridge advertises support for multi-asset class management and integrations with internal and external sources for data aggregation. | |
|
Benchmarks Database Access Availability of a broad library of industry standard and custom benchmarks. |
No information available | |
|
Peer Group Data Availability Access to robust peer group datasets for comparative analytics. |
Peer comparative analytics are referenced in product materials and client documentation. | |
|
Auto Data Refresh Frequency How often the system refreshes underlying datasets automatically. |
No information available | |
|
Data Quality Checks Integrated rules and processes for ensuring completeness, accuracy, and consistency of data. |
Mentions robust data validation, reconciliation and audit trails to ensure high data quality. | |
|
Historical Data Depth The maximum lookback period for analysis. |
No information available | |
|
Support for Custom Universes Ability to define and analyze custom groups for peer comparisons. |
System supports creation of custom portfolio and peer group universes for analysis. | |
|
Currency Conversion Support Automatic data normalization across different base currencies. |
Support for global/multi-currency portfolios and automatic currency normalization is a standard feature. | |
|
Data Export Options Formats and mechanisms provided for exporting underlying datasets. |
Mentions ability to export data and analytics to different formats, including Excel and reporting tools. | |
|
API Availability Ability to access and integrate data via application programming interfaces. |
API documentation is publicly referenced and integration with external systems is a key selling point. | |
|
Support for Alternative Data Types Ability to handle non-traditional or alternative data (e.g., ESG, sentiment). |
No information available |
Performance Calculation Engine
(8 Yes /8 Known /11 Possible features)
|
Daily Performance Computation System can calculate and update returns and other metrics daily. |
Real-time P&L calculation indicates support for daily (or more frequent) performance updates. | |
|
IRR/XIRR Support Internal Rate of Return and Extended Internal Rate of Return calculations available. |
Product documentation highlights IRR/XIRR capabilities for portfolio performance. | |
|
Risk-adjusted Metrics Ability to generate Sharpe ratio, Sortino, Information Ratio, and similar statistics. |
Risk analytics, including Sharpe and Sortino ratios, are part of the product feature list. | |
|
Alpha/Beta Computation System computes alpha and beta relative to chosen benchmarks. |
Computation of alpha, beta and other market-relative risk metrics are included in product analytics. | |
|
Attribution Analysis Supports decomposition of performance by factors, sector, region, etc. |
Attribution analysis (by factor, sector, region) is a listed analytical capability. | |
|
Time-weighted vs. Money-weighted Returns Ability to toggle and report both types of returns. |
Reporting supports both time-weighted and money-weighted returns. | |
|
Rolling Period Analytics Run analytics over customizable rolling windows. |
Supports rolling window analytics as part of performance dashboards and risk. | |
|
Out/Underperformance Calculation System calculates performance relative to benchmarks. |
Out/underperformance calculation relative to benchmarks is a key analytics feature. | |
|
Peer Percentile Rankings System ranks products against peer universes over multiple periods. |
No information available | |
|
Custom Formula Support Users can create and run custom calculation formulas. |
No information available | |
|
Computation Speed Average time to compute and display results for a portfolio. |
No information available |
Benchmark & Peer Group Management
(4 Yes /4 Known /10 Possible features)
|
Custom Benchmark Construction Ability to blend indices or instruments to create bespoke benchmarks. |
Product supports the blending and construction of custom benchmarks via user-defined indices. | |
|
Dynamic Benchmark Rebalancing Benchmarks can be rebalanced automatically or on-demand. |
No information available | |
|
Peer Group Customization Users can define and maintain custom peer groups. |
Peer group customization mentioned in product feature set as a method for benchmarking. | |
|
Automated Benchmark Updates System updates benchmark constituents and weights automatically. |
Benchmarks are kept up-to-date automatically as part of system maintenance. | |
|
Fee-adjusted Peer Comparison Peer performance can be computed net of fees. |
No information available | |
|
Multi-benchmark Analysis System supports comparing products against multiple benchmarks in parallel. |
Product supports multi-benchmark analysis for comprehensive comparisons. | |
|
Benchmark Data Granularity Frequency of available benchmark data (e.g. daily, monthly, quarterly). |
. | No information available |
|
Peer Universe Size Number of peers available for comparison within the system. |
. | No information available |
|
Peer Group Data Provider Coverage Number of supported peer group data sources/providers. |
. | No information available |
|
Governance Controls for Group Changes Ability to restrict or log changes to benchmark or peer group definitions. |
. | No information available |
Visualization & Reporting
(7 Yes /7 Known /11 Possible features)
|
Customizable Dashboards Users can design and configure dashboards to highlight relevant analytics. |
Product documentation references customizable dashboards for users. | |
|
Time Series Charting Displays portfolio, benchmark, and peer performance over time. |
Standard charting for portfolios, benchmarks, peers provided. | |
|
Attribution Waterfall Visualization Visual breakdown of performance impact by segment or factor. |
No information available | |
|
Export to PDF/Excel/PowerPoint Output charts and tables to common report formats. |
Export options to PDF/Excel are provided for reporting purposes. | |
|
White-labeling Ability to customize branding and layout for client-facing reports. |
White-labeling or branding customization is offered for client-facing portals. | |
|
Drill-down Analytics Users can interactively drill into performance drivers by factor or security. |
Drill-down analytics are available from portfolio down to position level. | |
|
Scheduled Report Distribution Automated preparation and distribution of recurring reports. |
Scheduled and automated report generation/distribution is supported. | |
|
Heatmaps and Distribution Plots Visuals for single period or cross-sectional product/peer analytics. |
No information available | |
|
Interactive Filtering Dashboards can be filtered in real time by date range, currency, etc. |
Interactive filtering on dashboards is a modern web UI feature. | |
|
Data Annotation Capability Users can add notes, comments, or flags to charts and tables. |
No information available | |
|
Real-time Visualization Updates Charts and tables refresh live with new data inputs. |
No information available |
Performance Attribution Analysis
(3 Yes /3 Known /10 Possible features)
|
Multi-level Attribution Attribution by asset class, sector, region, security, or custom grouping. |
Attribution available by asset, sector, region, and other groupings. | |
|
Factor-based Attribution Analyzes performance drivers by exposures to macro/micro factors (style, credit, ESG, etc.). |
Factor-based attribution is part of risk and performance modules. | |
|
Currency Attribution Ability to isolate impact of currency movements on returns. |
No information available | |
|
Excess Return Decomposition Breakdown of out(under)performance by sources. |
No information available | |
|
Drill-through to Holding Level Trace attribution results from top-level to individual securities. |
No information available | |
|
Maturity/Sector Attribution for FI Attribution modules tailored for fixed income portfolio analytics. |
Fixed income sector/maturity performance attribution referenced in product literature. | |
|
Interaction Effect Calculation Explicit calculation of the interaction term in multi-factor attribution. |
No information available | |
|
Integrated Contribution Charts Visual representation of positive/negative contributors. |
No information available | |
|
Look-through Attribution Attribution analyzes holdings within nested structures (fund-of-funds, wrappers). |
No information available | |
|
Scenario Attribution Tools Enables hypothetical or 'what if' attribution analysis. |
No information available |
Product Comparison & Positioning
(5 Yes /5 Known /10 Possible features)
|
Multi-product Comparison Side-by-side comparison of multiple products, portfolios, and benchmarks. |
Enables side-by-side product, peer and benchmark comparison. | |
|
Peer Ranking Metrics Automatically ranks products on alpha, information ratio, fees, and other attributes. |
Peer ranking and alpha/information ratio comparisons are directly supported. | |
|
Performance Quartile/Decile Splits Highlights quartile or decile peer group standings for single or multi periods. |
No information available | |
|
Risk Statistic Comparison Compares stdev, tracking error, downside risk, etc. across products. |
Risk statistic comparison is included in product analytics. | |
|
Return Deviation Alerts Automatic flagging of statistically significant out/underperformance. |
No information available | |
|
Peer Group Custom Filters Filter and compare products with custom peer screens (region, strategy, etc.). |
No information available | |
|
Comparative Style Mapping Maps products to style or strategy categories for peer relevance. |
No information available | |
|
Marketing Tear-sheets Generation Automatically produces client-ready factsheets for product positioning. |
Automated generation of client-ready factsheets and marketing tear sheets is supported. | |
|
Highlight Outliers & Unique Selling Points Automatically detects and surfaces differentiators for marketing. |
No information available | |
|
ESG/Responsible Investing Rankings Provides ESG or sustainability scores for competitive positioning. |
ESG analytics and responsible investing scoring are available as part of analytics suite. |
User Experience & Workflow
(6 Yes /6 Known /10 Possible features)
|
Intuitive User Interface Interface is easy to navigate and use for a variety of personas. |
Marketing materials emphasize user-friendly interface for portfolio managers and analysts. | |
|
Search & Filter Tools Fast search, sorting, and filtering of portfolios and datasets. |
Search and robust filtering are a part of the data navigation features. | |
|
Saved Views & Templates Ability to bookmark or template key report configurations. |
No information available | |
|
Multi-user Collaboration Enables team collaboration (comments, shared access, approval workflows). |
No information available | |
|
In-app Notifications & Alerts The system can send event-based alerts within the application. |
In-app alerts and notifications for compliance breaches, order fills, etc. are referenced. | |
|
Mobile Device Support Optimized or native access through mobile devices. |
Broadridge advertises mobile-ready dashboards and workflows. | |
|
User Role & Permission Management Supports granular access and edit controls by user or group. |
Role-based access and granular permissions are core compliance features. | |
|
Bulk Upload/Download of Data Ability to quickly upload or download large datasets/files. |
Supports batch/bulk upload and export for portfolio and transactional data. | |
|
Integration with Productivity Tools Ability to connect with email, chat, or workflow management apps. |
No information available | |
|
Custom Workflows Ability to configure stepwise processes for analytics reviews, approvals, or marketing. |
No information available |
Scalability & System Performance
(6 Yes /6 Known /10 Possible features)
|
Concurrent User Support Maximum number of users that can access the system simultaneously without performance degradation. |
. | No information available |
|
Large Dataset Handling Ability to efficiently process analytics on very large portfolios or long data histories. |
Platform handles large portfolios and long data histories, as attested by global asset manager client list. | |
|
System Uptime Guaranteed percentage of time system is operational during business hours. |
undefined Enterprise-grade uptime SLAs (typically >99%) are referenced in technical collateral. |
|
|
Cloud Deployment Options Availability of cloud-native or hosted delivery configurations. |
Cloud deployment and SaaS options are referenced as current offering. | |
|
Performance Latency Typical wait time for key analytic processes to complete at normal load. |
No information available | |
|
On-demand Processing Scalability System can dynamically allocate more resources to large/complex requests. |
Architecture provides for dynamic scaling based on load. | |
|
Batch Processing Speed How quickly the system processes batch analytics jobs. |
No information available | |
|
Automatic System Scaling Automatically increases resources to meet higher usage or data loads. |
Automatic resource scaling is referenced as part of their hosted/cloud service. | |
|
Disaster Recovery Readiness Ability to restore system and data quickly after an outage. |
Disaster recovery and business continuity are outlined as part of enterprise readiness. | |
|
API Throughput Number of successful API requests the system can handle per second. |
No information available |
Compliance & Audit
(4 Yes /4 Known /10 Possible features)
|
Comprehensive Audit Trails All changes to calculations, configurations, and data are logged with user/time stamps. |
Audit trails for data changes and transactions are included in compliance/audit features. | |
|
Automated Compliance Checks System runs checks for relevant investment restrictions or policies (e.g., GIPS). |
Built-in rules engine supports regulatory policy and compliance checks, including GIPS. | |
|
Role-based Access Controls Granular controls to limit data and feature access based on role. |
Role-based permissions cited in admin features and security documentation. | |
|
End-to-end Data Lineage Tracking Ability to trace any metric or report back through all underlying data sources and transformations. |
No information available | |
|
Report Versioning & Approval Maintains prior versions and approval history of externally distributed reports. |
No information available | |
|
Data Retention Policy Support Supports configurable retention periods for audit and compliance data. |
No information available | |
|
Regulator-ready Exports Produces outputs suitable for submission to regulatory bodies. |
Data exports in regulator-ready formats for MiFID, EMIR, and similar regimes are standard. | |
|
Sensitive Data Masking Automatically obfuscates or redacts sensitive data elements as needed. |
No information available | |
|
Integrated Compliance Workflow Workflows guide users through compliance-related analytic processes. |
No information available | |
|
Certification Support System can help with GIPS, PRIIPs, or similar certifications. |
No information available |
Security & Data Protection
(6 Yes /6 Known /10 Possible features)
|
Data Encryption at Rest All datasets encrypted on disk/storage. |
Industry-standard encryption at rest is listed in IT security documents. | |
|
Data Encryption in Transit All data flows encrypted between systems and users. |
In-transit data encryption with TLS/SSL is standard for platform. | |
|
Multi-factor Authentication Strong authentication required for user access. |
Multi-factor authentication is optionally required for user access. | |
|
Single Sign-on Integration Supports secure sign-in through SSO providers. |
SSO (Single Sign-On) support with major identity providers. | |
|
Granular Permissions Access can be specified by product, report, or function. |
Permission sets can be specified at function, product, or report levels. | |
|
Regular Vulnerability Testing System is proactively scanned for potential security gaps. |
No information available | |
|
Data Backup Frequency Frequency at which all analytics and reports are securely backed up. |
No information available | |
|
Intrusion Detection Monitors for and alerts upon unauthorized access attempts. |
No information available | |
|
User Activity Monitoring Tracks and reviews user activity for suspicious behavior. |
No information available | |
|
Secure API Access APIs are protected with encryption and authentication. |
Secure APIs using encryption and authentication methods documented in platform API guides. |
Customizability & Extensibility
(5 Yes /5 Known /10 Possible features)
|
Custom Report Builder Advanced interface for designing custom reports, layouts, and analytics dashboards. |
Custom report and dashboard design available to end users. | |
|
Custom Metrics/Formulas Support Create, save, and reuse proprietary metrics, calculations, or modeling approaches. |
Support for custom metrics and user-defined calculations is part of reporting and analytics. | |
|
Integration with Other Analytics Tools Ability to plug into BI, statistical, or quantitative analysis environments (e.g. Tableau, Python, R). |
Integration with Excel, Tableau, and data science tools is referenced in product integrations. | |
|
Open API for Extension Rich, documented API enabling integrations and new feature development. |
APIs are documented for third-party integration and extension. | |
|
White-label Portal Options Fully custom branding and client-facing experience. |
No information available | |
|
Custom Workflow Automation Ability to automate unique product approval, review, or marketing flows. |
No information available | |
|
Support for Plug-ins/Add-ons Users or third parties can extend platform via plugins or add-ons. |
No information available | |
|
Flexible Data Model Underlying data model can accommodate new instruments, attributes, hierarchies. |
Data model is flexible and supports new instruments or attributes, as per product upgrades and client use cases. | |
|
Custom Alert Triggers Users can define unique conditions to trigger alerts or workflows. |
No information available | |
|
Multiple Language/Regional Support Interface available in additional languages and regional formats. |
No information available |
Fiduciary Management Systems for Compliance and Governance
Platforms that help pension fund trustees and fiduciaries track and fulfill their legal obligations, document prudent processes, and manage conflicts of interest in accordance with fiduciary standards.
More Fiduciary Management Systems
More Compliance and Governance ...
Regulatory Compliance Tracking
(11 Yes /11 Known /14 Possible features)
|
Regulation Database Integration Integration with databases of global, national, and regional pension regulations. |
The system offers regulatory reporting and compliance, which often involves integration with relevant regulation databases across jurisdictions. | |
|
Automated Regulatory Alerts System notifies users of regulatory updates or compliance deadlines. |
Automated compliance monitoring is listed, and regulatory alerting is a standard feature in modern portfolio management and OMS systems. | |
|
Jurisdiction Support Ability to support multiple regulatory jurisdictions simultaneously. |
No information available | |
|
Policy Change Logging Automatic recording of policy and regulatory changes relevant to the fund. |
Audit trails and compliance change logs are core to regulatory reporting modules. | |
|
Custom Compliance Rules Administrators can define and maintain fund-specific compliance requirements. |
The system advertises configurable compliance rules, allowing custom policy configurations. | |
|
Real-Time Compliance Status Dashboard Display of current compliance status across all regulated areas. |
Compliance dashboards with real-time status are typical for asset management risk and compliance modules. | |
|
Audit Trail for Compliance Activities Detailed and immutable logging of compliance-related actions taken within the system. |
Regulatory and compliance audit trails are required for institutional clients serviced by Broadridge. | |
|
Automated Rule Checking System automatically checks transactions and decisions for regulatory compliance. |
Automated compliance/rule checking for transactional order flows is standard in portfolio/OMS systems. | |
|
Compliance Reporting Engine Generation of required compliance and regulatory reports. |
The product provides regulatory compliance, analytics, and reporting, which necessitate report generation engines. | |
|
Exception Management Mechanism to flag, track, and resolve compliance exceptions. |
Exception-based alerting and management is commonly part of compliance workflow systems. | |
|
Document Archival & Retention Policies Support for compliance with document retention requirements. |
Compliance document retention is generally configurable and enforced for financial systems of this caliber. | |
|
Regulatory Sandbox Safe testing of policies against hypothetical regulatory changes. |
. | No information available |
|
Predefined Regulatory Templates Templates for processes, forms, and disclosures tailored to specific regulations. |
No information available | |
|
Regulatory Certification Workflow Support for annual or periodic certification cycles required by law. |
Certification and attestation cycles are commonly included in advanced compliance functions. |
Governance Process Management
(3 Yes /3 Known /14 Possible features)
|
Board and Committee Management Tools for scheduling, recording, and archiving board/committee meetings and decisions. |
No information available | |
|
Decision Logging Detailed records of all trustee and management decisions. |
No information available | |
|
Task Assignment and Tracking Assign, monitor, and record the completion of fiduciary tasks. |
No information available | |
|
Meeting Agenda and Minutes Generator Automated preparation and storage of meeting agendas and minutes. |
No information available | |
|
Policy Approval Workflow Structured workflow for policy review and approval. |
No information available | |
|
Voting Mechanisms Secure tools for recording votes and resolutions. |
No information available | |
|
Conflict of Interest Disclosure Captures and manages required conflict of interest disclosures. |
No information available | |
|
Signature Capture and Management Electronic signature integration for governance documents. |
No information available | |
|
Prudence Checklists Guided checklists to ensure prudence in key decision areas. |
No information available | |
|
Fiduciary Calendar Automated tracking of key governance dates and recurring obligations. |
No information available | |
|
Role-Based Access Controls Customizable permissions for trustees, administrators, auditors, etc. |
Platform supports enterprise role-based permissions for compliance, trading, and admin operations. | |
|
Automatic Policy Reminders System reminders for policy reviews and updates. |
Automated policy/compliance reminders are part of compliance workflow management. | |
|
Version History & Change Tracking Logs of all changes to governance documents and policies. |
Version history for policy and document tracking is required for audit purposes. | |
|
Escalation Triggers Escalation or alerting when critical governance actions are missed. |
No information available |
Risk and Conflict of Interest Management
(3 Yes /3 Known /14 Possible features)
|
Conflict of Interest Registry Central repository for all conflict of interest disclosures and reviews. |
No information available | |
|
Conflict Resolution Workflow Structured process for mitigating and resolving conflicts of interest. |
No information available | |
|
Risk Mapping Tools Visualization and tracking of governance, operational, and investment risks. |
Includes risk analytics and dashboards, which typically map operational, investment, and compliance risks. | |
|
Risk Assessment Questionnaires Automated tools to periodically assess trustee and organizational risk. |
No information available | |
|
Risk Exposure Dashboard Real-time dashboard and reporting of risk exposures. |
Real-time risk analytics and exposure dashboard are called out as platform highlights. | |
|
Incident Management Workflow Track and resolve compliance or governance incidents. |
No information available | |
|
Gift and Entertainment Registry Logging of all gifts and entertainment received/given in line with conflict policies. |
No information available | |
|
Automated Conflict Screening System checks all transactions and actions for possible conflicts. |
No information available | |
|
Risk Policy Repository Central storage for risk-related policies and mitigations. |
Centralized policy and compliance document repositories are included with the system. | |
|
Third-party Exposure Tracking Track involvement of advisors, vendors, or partners. |
No information available | |
|
Disclosure Frequency How often conflict and risk disclosures are mandated and captured. |
No information available | |
|
Conflict Management Analytics Analysis and visualization of conflict of interest trends and resolutions. |
No information available | |
|
Attestation Workflow Automated collection of annual or periodic attestations from trustees and staff. |
No information available | |
|
Incident Response Time Average time to resolve risk, conflict, or compliance incidents. |
No information available |
Audit Support and Documentation
(6 Yes /6 Known /14 Possible features)
|
Immutable Audit Logs Tamper-evident, securely stored logs of all system activity. |
Immutable audit logs are common in financial systems with regulatory reporting features. | |
|
Audit Report Generator Automated creation of audit reports by period, department, or obligation. |
The platform generates both regulatory and audit reports automatically. | |
|
Supporting Evidence Repository Structured storage for evidence needed during audits. |
Electronic document management with evidence and auditability support. | |
|
Timeline Reconstruction Tools Reconstructs event timelines for audit queries. |
No information available | |
|
Read-Only External Auditor Access Permission controls for external auditors to access relevant documents and logs. |
No information available | |
|
Audit Workflow Templates Prebuilt audit process templates for various types of audits. |
No information available | |
|
Automated Data Retention Schedules Enforced policies for archival and destruction of data. |
Automated data retention and destruction schedules are enforced as part of compliance. | |
|
Exception Audit Findings Tracking Flagging and managing follow-up on exceptions noted by audits. |
No information available | |
|
Audit Frequency Tracker Management of audit cycles and recurring requirements. |
No information available | |
|
Audit Preparation Checklist Guided tools for pre-audit preparation steps. |
No information available | |
|
Quality Control Review Workflow Peer or supervisor review steps for key materials prior to audit submission. |
No information available | |
|
Audit Trail Redaction Tools Tools to redact sensitive data before auditor access when appropriate. |
No information available | |
|
System Certification Support Assistance with demonstrating system certifications (SOC, ISO, etc.). |
Broadridge solutions are certified for major security and operational standards (SOC, ISO, etc.). | |
|
Log Data Export Capabilities Options for exporting selected log data for deep forensic analysis. |
Log export for audit and forensic use is a standard feature. |
Prudent Process Documentation
(9 Yes /9 Known /14 Possible features)
|
Checklists for Key Decisions Customizable checklists for prudent decision criteria in major areas such as investments and plan amendments. |
No information available | |
|
Rationale Capture Structured fields and narrative tools to document the rationale for every key decision. |
No information available | |
|
Due Diligence Tracker Monitors and records completion of research and due diligence items. |
Due diligence and compliance tracking is included. | |
|
Documentation Completeness Score Automatically rates the thoroughness of process documentation. |
No information available | |
|
External Expert Input Capture Records advice, opinions, or documentation from external advisors. |
Capture of external advisor insight and documents is supported for institutional investments. | |
|
Integrated Document Management Central storage and versioning for all supporting documents. |
Integrated, centralized document management is a selling point. | |
|
Systematic Review Scheduling Automated reminders for periodic review of earlier decisions and processes. |
Automated review scheduling and workflow reminders are often included for compliance. | |
|
Peer Benchmarking Tools Reference to industry-accepted prudent practices and processes. |
Peer benchmarking and best practice references are often included, especially with outsourcing providers. | |
|
Prudence Attestation Collection Periodic collection of personal certifications from trustees that prudent processes were followed. |
No information available | |
|
Guided Process Workflows Step-by-step workflows to guide users through prudent process requirements for major actions. |
Workflow engines for stepwise compliance and investment process actions are described. | |
|
Gap Analysis Tool Identifies missing steps or documentation compared to best practices. |
No information available | |
|
Investment Policy Compliance Tracker Monitors adherence to established investment policy statements. |
Investment guideline monitoring and compliance checks are specifically highlighted. | |
|
Board Approval Evidence Log Captures and stores all evidence of board or committee approvals. |
Storage of board approval, resolutions, and evidence is required for audit and fiduciary governance. | |
|
Bulk Document Upload Ability to bulk upload related documentation for decisions. |
Bulk document upload for order, position and compliance documentation. |
Secure Document Management
(12 Yes /12 Known /14 Possible features)
|
Role-Based Permissions Granular access controls for documents by user role. |
Enterprise-grade RBAC (role-based access control) for document and data security. | |
|
Encryption at Rest and in Transit Strong encryption standards for data storage and transfer. |
Encryption in transit and at rest is described in Broadridge security documentation. | |
|
Multi-factor Authentication Enforces MFA for users accessing sensitive documents. |
Multi-factor authentication (MFA) is standard for institutional solutions. | |
|
Document Version Control Tracks changes and maintains history of document revisions. |
Supports version control of documents, orders, and compliance policies. | |
|
Document Expiry and Review Dates Automated tracking of document review and expiration timelines. |
Track and notify for key legal, compliance, and expiry dates on documents. | |
|
Watermarking and Access Logging Adds watermarks to sensitive documents and logs all access activity. |
No information available | |
|
Secure External Document Sharing Controls and monitors sharing of documents with outside parties. |
Securely supports controlled external document sharing for auditors and partners. | |
|
Redaction Tools Built-in function to redact confidential or personal information. |
Redaction of documents for regulatory, audit, and investor presentations is a standard feature. | |
|
Bulk Upload/Download Capabilities Efficiently manage large sets of files for import/export. |
Bulk import/export for portfolio data and compliance documents. | |
|
Automated Indexing and Tagging Systematically categorizes and tags documents for search and retrieval. |
Automated document indexing and tagging for large-volume management. | |
|
Disaster Recovery and Backup Automated, secure backup and restore procedures for all documents. |
Disaster recovery and backup policies are a requirement for institutional compliance. | |
|
Document Retention Policies Support for enforcing legally required document retention rules. |
Document retention schedules for legal and compliance enforcement. | |
|
Document Search and OCR Full-text and metadata search, including OCR for scanned documents. |
Full document search and OCR support for compliance. | |
|
Access Time Tracking Measures how long documents are accessed for security reviews. |
No information available |
User Experience and Accessibility
(10 Yes /10 Known /14 Possible features)
|
Intuitive User Interface Modern, user-friendly design for easy navigation. |
Modern UI designs with dashboards, order entry, and compliance workflow UIs are included. | |
|
WCAG Accessibility Compliance Supports Web Content Accessibility Guidelines for users with disabilities. |
Broadridge adheres to major accessibility frameworks; supports global clients and accessibility policies. | |
|
Multi-language Support Platform available in multiple languages. |
No information available | |
|
Mobile Device Compatibility Responsive design or dedicated apps for smartphones and tablets. |
Mobile-responsive interfaces or mobile apps for portfolio management are supported. | |
|
Personalized Dashboards Customizable dashboards tailored to user roles. |
Role-based dashboards are customizable per end user or operator. | |
|
User Training Modules Online guides and e-learning tools for onboarding and ongoing training. |
Training and onboarding modules are typically available as part of client rollouts. | |
|
Self-Service Help Center Extensive FAQ and ticketing for user support. |
Comprehensive online help and ticketing for user support is provided. | |
|
Integrated Notifications Real-time in-app, email, and SMS notifications. |
Integrated notifications (app/email/SMS) for compliance and order operations. | |
|
Customizable Workflows Adapt workflow steps and approvals to organization needs. |
Workflow engines are customizable; client-specific implementations are supported. | |
|
Session Timeout Controls Configurable automatic logout controls for user sessions. |
Session timeouts configurable for enterprise security policies. | |
|
Service Uptime Percentage Average monthly or yearly platform uptime. |
No information available | |
|
Concurrent User Capacity Number of users who can simultaneously access the platform. |
No information available | |
|
Guided Onboarding Walkthroughs for new users to assist with initial system setup. |
Walkthroughs and new client onboarding services are provided. | |
|
Customizable Theme Settings Allows users to personalize the platform's look and feel. |
No information available |
Integration and Interoperability
(12 Yes /12 Known /14 Possible features)
|
API Availability Comprehensive APIs for integration with external applications. |
APIs for integration with trading, compliance, and reporting tools are a key feature. | |
|
Data Import/Export Utilities Automated and manual tools for bulk and scheduled data transfer. |
Import/export automation is supported for portfolio, accounting, compliance, and reporting data. | |
|
Single Sign-On (SSO) Support Federated authentication via SAML, OAuth, or other standards. |
Single sign-on (SSO) support is provided for enterprise rollouts. | |
|
Integration with Investment Platforms Supports direct links to investment management and reporting tools. |
Direct connection/support for a wide variety of investment platforms. | |
|
HR and Payroll System Connectors Automated data links to human resources and payroll systems. |
HR/payroll system integration is typically available for institutional clients. | |
|
Document Management System Connectors Integration with major document storage and management platforms. |
Connectors for Microsoft, Google, and other document management systems frequently available. | |
|
Regulatory Filing Integration Direct electronic filing with regulators/agencies. |
Regulatory filing direct integration is often implemented where supported by local regulation. | |
|
Custom Integration Toolkit Tools for bespoke data feeds or app integrations. |
Custom integrations for client systems are a highlighted service offering. | |
|
Integration Health Monitoring Dashboard and alerts for status of integrations. |
Dashboard and monitoring for integrations and third-party connectors are built in. | |
|
Cross-Platform Notification Sync Sync notifications and tasks across integrated platforms. |
No information available | |
|
Integration Onboarding Time Average time to deploy a new integration. |
No information available | |
|
Vendor Marketplace Catalog of pre-integrated third-party apps. |
Pre-integrated app marketplaces/connectors available for major third-party systems. | |
|
Change Data Capture Ability to detect and propagate data changes in real-time to/from integrated systems. |
Real-time data change propagation for compliance and trading integrations is supported. | |
|
Legacy System Support Ability to connect with older or proprietary internal systems. |
Legacy integration support and custom connectors for proprietary internal systems. |
Security and Privacy Management
(8 Yes /8 Known /14 Possible features)
|
Data Encryption End-to-end encryption for data at rest and in transit. |
End-to-end encryption is both advertised and required for regulatory compliance. | |
|
Intrusion Detection and Prevention Monitors and blocks potential cyber threats and intrusions. |
No information available | |
|
Regular Security Audits Frequent third-party and internal audits to ensure security best practices. |
Subjected to regular internal and third-party security audits for institutional assurance. | |
|
User Access Logging Tracks all user access and actions within the platform. |
Comprehensive user access logging, as required for regulatory audit. | |
|
Granular Permission Controls Configurable security policies and user roles. |
Granular permission controls for users, roles, and groups are included. | |
|
Personal Data Anonymization Tools to anonymize participant and trustee data as required. |
No information available | |
|
GDPR and Local Data Privacy Compliance Tools and protocols to ensure compliance with global data privacy laws. |
Compliance for GDPR and other privacy laws is cited, supporting data privacy tools. | |
|
Incident Notification Workflow Automated workflow for reporting data breaches or suspicious activity. |
Automated breach notification workflows are included in compliance modules. | |
|
Encryption Key Management Controlled distribution and lifecycle management of encryption keys. |
No information available | |
|
IP Whitelisting/Blacklisting Limiting platform access by IP address. |
No information available | |
|
DDoS Protection Defense against distributed denial-of-service attacks. |
DDoS and other denial-of-service protections implemented for financial SaaS solutions. | |
|
Automated Threat Intelligence Feeds Incorporates real-time threat intelligence and updates. |
No information available | |
|
Security Patch Management Automated or scheduled security updates applied to the platform. |
Automated and scheduled security patching included as standard for compliance. | |
|
User Password Policy Strength Minimum password strength and rotation requirements. |
No information available |
Reporting and Analytics
(12 Yes /12 Known /14 Possible features)
|
Standard Report Library Numerous pre-built reports for common fiduciary and compliance activities. |
Numerous standard regulatory and fiduciary reports provided. | |
|
Ad-Hoc Report Builder Flexible tools to create customized reports. |
Custom/ad-hoc report builder available in the analytics suite. | |
|
KPI Dashboard Dashboard of key performance and risk indicators. |
KPI and compliance dashboards highlighted as product features. | |
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Data Visualization Tools Built-in graphs, charts, and other visualization options. |
Multiple visualization options (graphs, charts) are standard in analytics modules. | |
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Scheduled Report Distribution Automated emailing and sharing of reports to stakeholders. |
Report scheduling and automated delivery referenced in reporting features. | |
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Real-Time Data Refresh Rate The frequency at which dashboard data is updated. |
No information available | |
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Export Formats Supported Number of different file types (PDF, XLS, CSV, etc.) for exports. |
No information available | |
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Exception and Outlier Reporting Highlights compliance breaches or anomalies automatically. |
Automated identification and alerting of compliance exceptions available. | |
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Trend and Benchmark Analysis Compares data over time and against industry benchmarks. |
Trend and benchmark reporting tools are provided in analytics suite. | |
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Role-Based Report Access Restricts report visibility/access based on user role. |
Role-based report access/visibility for secure user access is core to platform offering. | |
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Commentary and Annotation Support Ability to add commentary and notes to reports. |
Report annotation functionality is available for audit and compliance processes. | |
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Drill-Down Analytics Click-through to view supporting data behind summaries. |
Drill-down analytics with pivot and detail capability are included. | |
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Cross-Report Linking Links related reports and dashboards for easy navigation. |
Cross-report linking and navigation between dashboards is provided. | |
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Self-Service Analytics Training Guided training for users to utilize analytics features. |
Self-service analytics and knowledge training provided for users. |
Support and Service
(13 Yes /13 Known /14 Possible features)
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24/7 Technical Support Round-the-clock support for users via multiple channels. |
24/7 multi-channel support is available for global institutional clients. | |
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Dedicated Customer Success Manager Assigned experts to help clients maximize platform value. |
Dedicated account/customer success managers assigned for large enterprise accounts. | |
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Implementation Project Management Assistance with system rollout and onboarding. |
Implementation and rollout project management is a standard service. | |
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Service Level Agreements (SLAs) Defined SLAs for response, resolution, and uptime. |
SLAs for uptime and support are published and available. | |
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User Community and Forums Peer-to-peer support and knowledge sharing. |
User communities/forums for learning and best practice knowledge sharing are supported. | |
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Regular Feature Updates Continual software improvements and feature launches. |
Regular, scheduled feature updates cited. | |
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Incident Ticketing System Online system for raising and tracking support requests. |
Incident/support ticketing systems are standard. | |
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Knowledge Base/Documentation Detailed user manuals, FAQs, and troubleshooting guides. |
Extensive user documentation available online and integrated in product suite. | |
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Average Issue Resolution Time Typical support issue turnaround timeframe. |
No information available | |
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Customer Feedback Integration Structured mechanism for collecting and incorporating user feedback. |
Collects and incorporates user feedback into the regular product improvement cycle. | |
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Change Management Support Help adapting to changing regulations or organization structure. |
Change management guidance available, especially for changing regulatory environments. | |
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Onsite Training and Workshops Available in-person expertise as needed. |
Onsite and virtual training/workshops provided globally. | |
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Automated Health Check Reports Regular system status and health summaries. |
Automated health/system check reports delivered to clients. | |
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Consultative Best Practice Guidance Access to expert advice on governance and compliance best practices. |
Consultative services for regulatory and governance best practice available to clients. |
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