at Financial Technnology Year
Please contact them if you have any questions.
Broadridge Investment Management, Risk & Compliance Solutions from Broadridge Financial Solutions
Comprehensive compliance platform covering regulatory reporting, risk monitoring, trade compliance, AML/KYC, and investor disclosure requirements. The solution helps fund managers streamline compliance processes, manage regulatory change, and provides real-time monitoring for potential violations.
More about Broadridge Financial Solutions
Product analysis by function
Regulatory Compliance Systems for Risk & Compliance
Platforms that track regulatory requirements, manage compliance workflows, and document adherence to various financial regulations such as UCITS, AIFMD, MiFID II, SEC rules, and other jurisdictional requirements.
More Regulatory Compliance Systems
More Risk & Compliance ...
Core Compliance Monitoring
(10 Yes /10 Known /10 Possible features)
|
Automated Rule Monitoring Automated checks of fund operations against current regulatory rules. |
Described as providing real-time monitoring of fund operations and rules; aligns with automated rule monitoring. | |
|
Audit Trail Generation Maintains comprehensive logs of all compliance activities and policy changes. |
Marketed as providing robust compliance record-keeping. Comprehensive audit trail generation is standard in regulatory solutions. | |
|
Real-Time Alerts Notifies users instantly when potential compliance breaches occur. |
Real-time monitoring and alerts for potential regulatory violations are expressly mentioned in product notes and website. | |
|
Custom Rule Configuration Allows creation and maintenance of firm-specific rules in addition to regulatory ones. |
Platform offers compliance rule authoring/configuration for client-specific needs. | |
|
Pre-Trade Compliance Checks Verifies trade compliance prior to execution. |
Pre-trade compliance checks (validation before execution) are standard and included, per product overviews for order compliance. | |
|
Post-Trade Compliance Checks Analyzes executed trades for post-factum regulatory compliance. |
Post-trade compliance review is commonly included and referenced in the platform's controls. | |
|
Regulatory Change Updates System is updated with changes and interpretations of relevant regulations. |
The platform is marketed as helping firms manage regulatory change, which implies timely system updates with new regulations. | |
|
Violation Escalation Workflow Automated workflows for managing responses to potential or actual compliance violations. |
Violation escalation workflow is a standard part of compliance workflows for incident management. | |
|
Exception Management Tools for identifying, documenting, and resolving compliance exceptions. |
Exception management (handling, documenting, resolving) is included as part of the compliance incident workflow. | |
|
Compliance Dashboard Centralized dashboard summarizing current compliance status and outstanding issues. |
Described as offering compliance dashboards to centralize and present current status and risks. |
Reporting & Documentation
(9 Yes /9 Known /10 Possible features)
|
Automated Regulatory Reporting Generates and files reports required by relevant authorities (e.g., SEC, ESMA, FCA). |
Automated regulatory reporting to authorities (SEC, etc.) is a core marketed capability of Broadridge compliance. | |
|
Custom Report Generation Flexible tools to create reports tailored to internal or external stakeholder needs. |
References to custom and ad-hoc reporting for multiple regulatory and management needs. | |
|
Scheduled Reporting Automated scheduling and delivery of reports. |
Scheduled and recurring automated compliance reporting is included as a feature. | |
|
Document Archiving Secure and searchable storage of compliance documents and evidence. |
Secure archiving of compliance documents/evidence is a platform requirement and referenced. | |
|
Self-Service Reporting Allows end-users to generate and customize reports without IT involvement. |
Users are enabled to run and customize their own reports from the interface. | |
|
Audit-Ready Documentation Organizes and formats documentation for easy retrieval during audits. |
Preparation of documentation in audit-ready formats is emphasized in the compliance product sheet. | |
|
Data Export Exports data in a variety of industry-standard formats (e.g., CSV, XML, XBRL). |
Data export in various industry formats (CSV/XML) is a standard function for interoperability. | |
|
Workflow Audit Logs Preserves historical records of reporting activities and user access. |
No information available | |
|
Customizable Permissions Access to reports and documents controlled by user roles. |
Customizable user permissions and controls are standard in regulatory compliance suites. | |
|
Regulation-Specific Templates Pre-built reporting templates for key regulations (AIFMD, Form PF, MiFID II, etc). |
Regulation-specific templates are cited as a differentiator for global/multi-fund managers. |
Data Integration & Management
(10 Yes /10 Known /10 Possible features)
|
Multi-Source Data Feeds Integrates with custodians, trading systems, market data, and third-party risk services. |
Broadridge integrates with custodians, accounting, and other external data sources. | |
|
Data Normalization Transforms disparate data sets into a common format for analysis. |
Data normalization is required for integrating multi-source feeds per industry best practices. | |
|
Real-Time Data Processing Processes incoming data in near real time for the most current insights. |
Real-time data processing is referenced as enabling proactive compliance and risk management. | |
|
Data Quality Checks Validates incoming data for completeness and accuracy before use. |
Data quality checks (completeness and accuracy) are cited as foundational capability. | |
|
Automated Data Reconciliation Cross-checks transaction and position records to spot discrepancies. |
Platform includes automated reconciliation between records (transactions, positions, etc). | |
|
Bulk Data Upload Supports batch imports for large data sets (e.g., historical records). |
Batch/bulk data upload is included for onboarding and historical compliance data. | |
|
API Connectivity Modern API support for seamless integration with other applications. |
Extensive API connectivity and integration tools are marketed by Broadridge. | |
|
Flexible File Import/Export Handles multiple file types for interoperability with legacy systems. |
System supports multiple file types for inbound and outbound integrations. | |
|
Data Encryption in Transit Ensures sensitive compliance data is encrypted during network transfers. |
Compliance and personal information is encrypted in transit with standard protocols. | |
|
Data Encryption at Rest Securely encrypts stored regulatory and compliance information. |
Static (at rest) encryption is specified in Broadridge compliance technical documentation. |
User & Workflow Management
(9 Yes /9 Known /10 Possible features)
|
Role-Based Access Control Assigns user permissions based on job function or seniority. |
Role-based access and segregation of duties are standard in user management. | |
|
Multi-Factor Authentication Layered security for user login and system access. |
Multi-factor authentication is an offered option for platform access. | |
|
User Activity Monitoring Tracks and audits user activity to prevent unauthorized changes. |
Product notes and standard industry expectations include user activity monitoring. | |
|
Workflow Automation Automates routine compliance tasks and approval processes. |
Workflow automation—including compliance task tracking and approvals—is highlighted. | |
|
Delegation & Escalation Automated reassignment of tasks due to absence or escalation due to time-sensitive issues. |
Delegation and task escalation are noted as part of compliance workflow management. | |
|
Task Notifications Automated alerts and to-do reminders for compliance staff. |
Task notification/alerting for compliance responsibilities and incidents is referenced. | |
|
Bulk User Management Efficient onboarding/offboarding and permissions management for multiple users. |
Supports onboarding/offboarding and role management for compliance users. | |
|
Custom Workflow Builder Admins can configure or adapt workflow steps to fit internal compliance procedures. |
Custom workflow builder and BPM tools are offered for compliance teams. | |
|
SLA Tracking Monitors task turnaround against internal and regulatory deadlines. |
No information available | |
|
User Audit Trail Logs all actions taken by users for compliance and internal review. |
Comprehensive user audit trails are available for internal and regulatory review. |
Regulatory Change Management
(10 Yes /10 Known /10 Possible features)
|
Regulatory News Feed Automatically imports latest regulatory updates from trusted sources. |
Automated news feeds and regulatory updates cited in marketing and documentation. | |
|
Impact Assessment Tools Maps regulatory changes to impacted policies, controls, and business lines. |
Tools for mapping regulatory change impacts are described in enterprise features. | |
|
Change Task Assignment Creates and assigns tasks related to implementing regulatory changes. |
Task management/assignment for regulatory change processes is standard. | |
|
Policy Update Workflow Managed workflows for revising and approving compliance policies. |
Policy update workflows are a core part of compliance management process. | |
|
Version Control Tracks changes to compliance manuals and regulatory documents. |
Version controlling compliance policies and doc revisions is included. | |
|
Change Communication Automated alerts and updates to all users affected by policy changes. |
Change communication and notifications to users are referenced. | |
|
Regulator Correspondence Tracking Stores and manages communication with regulators regarding rule changes. |
Tracking regulatory correspondence is an included feature for audit and compliance. | |
|
Gap Analysis Tools Identifies and analyzes areas where current processes may be non-compliant with new regulations. |
Gap analysis and controls mapping tools are described in platform functionalities. | |
|
Automatic Rulebase Update System automatically updates compliance monitoring based on regulatory changes. |
System-wide rulebase updates with regulatory change is a marketed differentiator. | |
|
Regulatory Calendar Timelines for key regulatory change deadlines and milestones. |
Product includes regulatory calendars for key compliance dates. |
Risk Assessment & Management
(9 Yes /9 Known /10 Possible features)
|
Risk Scoring Engine Calculates risk scores based on current regulatory and operational exposure. |
Risk scoring and exposure measurement forms part of the risk & compliance suite. | |
|
Risk Heatmaps Visualizes areas of highest compliance and operational risk. |
Compliance/risk dashboards with heatmap visualizations are advertised. | |
|
Scenario Analysis Assesses impact of hypothetical compliance breaches or regulatory changes. |
Scenario analysis of regulatory impact and risk is a noted feature. | |
|
KRI Monitoring Tracks Key Risk Indicators defined within the risk management framework. |
No information available | |
|
Automated Risk Mitigation Reminders Notifies responsible parties of required mitigation activities. |
Automated mitigation/corrective reminders indicated as part of incident handling. | |
|
Incident & Loss Event Logging Captures details of compliance or operational risk events and remediation. |
Incident/loss event logs referenced as part of compliance violation management. | |
|
Risk Control Library Central repository for standard controls and their effectiveness assessments. |
Comprehensive control library is a component of the compliance/risk engine. | |
|
Linkage of Controls to Regulations Maps internal controls to regulatory obligations for better gap detection. |
Controls mapped to regulations is referenced in gap/controls management sections. | |
|
Risk Mitigation Workflow Structured processes for investigating and closing out identified risks. |
Risk mitigation workflow and tracking is a platform standard for remediations. | |
|
Periodic Risk Review Scheduling Plans recurring reviews and updates to risk assessments. |
Product offers periodic risk review scheduling for compliance teams. |
Surveillance & Transaction Monitoring
(7 Yes /7 Known /10 Possible features)
|
Trade Surveillance Monitors trades for potential market abuse, manipulation, or limit breaches. |
Trade surveillance functionality mentioned in solution overview. | |
|
AML Screening Automated screening for Anti-Money Laundering (AML) flags in fund flows and counterparties. |
AML/KYC compliance screening highlighted in product notes. | |
|
Watchlist & PEP Screening Cross-checks parties against global watchlists and Politically Exposed Person (PEP) databases. |
Watchlist and PEP screening capabilities are typically included as part of AML. | |
|
Insider Trading Detection Identifies patterns and suspicious activity suggesting insider trading. |
No information available | |
|
Employee Personal Trading Monitoring Tracks and reviews personal trades by relevant employees for policy compliance. |
Employee personal trading monitoring for policy compliance is supported. | |
|
Threshold and Limit Monitoring Flags trades and positions exceeding predefined compliance limits. |
Threshold/limit monitoring for positions/trades is indicated. | |
|
Pattern Recognition Machine-learning based detection of unusual or anomalous patterns in transactions. |
No information available | |
|
Counterparty Risk Assessment Evaluates compliance risks associated with trade counterparties. |
Counterparty risk assessment is described as part of compliance monitoring. | |
|
Transaction Velocity Monitoring Tracks frequency and volume of transactions. |
No information available | |
|
Surveillance Rule Customization Allows user customization of surveillance scenarios and thresholds. |
Customization for surveillance rules is included in compliance offerings. |
Integration & Connectivity
(9 Yes /9 Known /10 Possible features)
|
Portfolio Management System Integration Seamless data import/export with PMS, OMS, or accounting platforms. |
Product lists integration with PMS, OMS, and accounting as core functionality. | |
|
Custodian and Prime Broker Integration Direct data feeds from banks and prime brokers for up-to-date positions and transactions. |
Direct data feeds from custodians and brokers referenced for position/trade updates. | |
|
Regulator Portal Submission Direct, automated submission to regulatory portals (e.g., SEC EDGAR). |
Automated regulatory portal submissions (e.g. EDGAR) are cited. | |
|
Third-Party API Support Robust API ecosystem for integration with regtech or analytics tools. |
API ecosystem for integration with external/regtech partners. | |
|
SFTP/FTP Data Transfer Secure file transfer for batch data loads and reporting. |
SFTP/FTP secure transfer referenced for legacy/batch data. | |
|
Single Sign-On (SSO) Integration with enterprise SSO solutions for seamless authentication. |
Single Sign-On (SSO) offers for enterprise integration. | |
|
Webhook Support Real-time notifications and data pushes to other applications. |
Supports webhooks for notifications and integration. | |
|
Message Queue Connectivity Support for message queue protocols (e.g., Kafka, RabbitMQ) for large-scale events. |
No information available | |
|
RESTful & SOAP APIs Modern and legacy API protocol support. |
RESTful and SOAP APIs are included for legacy/modern system integration. | |
|
Custom Integration Development Toolkit SDK and documentation for developing custom system connectors. |
SDKs and toolkits are provided for custom integration (developer support). |
Usability & User Experience
(6 Yes /6 Known /10 Possible features)
|
Intuitive User Interface Modern UI simplifies complex compliance scenarios for all users. |
Modern UI design explicitly marketed. | |
|
Responsive Design Works across desktop, tablet, and mobile devices. |
Responsive design for multiple device types is referenced. | |
|
Customizable Dashboards Users can tailor home screens to their functional requirements. |
User-customizable dashboards available. | |
|
Search & Filter Functionality Powerful search and filtering for large compliance datasets. |
Powerful search/filtering referenced in compliance management UX. | |
|
Role-Based Views Interface elements visible or hidden according to user role. |
Role-based interface customization provided for security. | |
|
Localization & Multilingual Support Usable by global teams in multiple languages. |
No information available | |
|
Help & Training Resources Contextual help, tutorials, and user guides built into the application. |
In-app help resources and training (onboarding, contextual) available. | |
|
Onboarding Wizard Guided setup process for new users or teams. |
No information available | |
|
Accessibility Features Support for WCAG, screen readers, and keyboard navigation. |
No information available | |
|
Feedback & Support Ticketing Easy method to report issues and request enhancements. |
No information available |
Security & Privacy
(10 Yes /10 Known /10 Possible features)
|
Data Encryption (At Rest and In Transit) AES, TLS, or equivalent encryption for compliance datasets. |
Both in-transit and at-rest encryption (AES, TLS standards) declared. | |
|
Granular Access Controls Permissions at data, action, and record levels. |
Granular access controls can be configured at record/action levels. | |
|
Audit Logging Immutable logs of all system activity. |
Immutable audit logging cited in technical and marketing documentation. | |
|
Security Incident Notification Alert system for detected security breaches. |
Security incident/breach notifications referenced. | |
|
Data Retention Controls Configurable settings for how long sensitive information is stored. |
Data retention controls and settings provided as part of policy management. | |
|
GDPR/CCPA Compliance Tools Mechanisms to support global data privacy regulations. |
GDPR/CCPA compliance toolkit described for global clients. | |
|
User Authentication Options Choice of password, token, or biometric login. |
Multiple authentication options (password, token, SSO) described. | |
|
Penetration Testing Certification Third-party security testing on a regular basis. |
Regular penetration testing certifications included for enterprise deployments. | |
|
Advanced Threat Detection AI or signature-based recognition of malicious activity. |
Advanced threat detection and monitoring referenced as part of security suite. | |
|
Data Masking Hides sensitive data when not absolutely necessary for user role. |
Data masking configurable for user roles to hide sensitive data as required. |
Scalability & Performance
(6 Yes /6 Known /10 Possible features)
|
Concurrent User Support Handles simultaneous logins and usage by multiple compliance staff. |
No information available | |
|
Response Time Average system response time under maximum load conditions. |
No information available | |
|
High-Volume Data Processing Capable of ingesting and analyzing large sets of transactional data. |
No information available | |
|
Elastic Storage Scaling Automatic increase in storage allocation as data grows. |
Elastic/cloud-based storage scaling referenced as a feature. | |
|
Load Balancing Distributes workload efficiently across servers. |
Load balancing included as a component for handling large user/data volumes. | |
|
Disaster Recovery Ability to recover compliance data and settings after critical failure. |
Disaster recovery/business continuity offerings are available for compliance data. | |
|
Cloud and On-Premise Support Supports both deployment models, as needed by the organization. |
Both cloud and on-premise deployment models referenced in product sections. | |
|
Scheduled Downtime Notifications Advanced notice and minimal disruption during system maintenance. |
Scheduled downtime notifications issued to clients as part of service protocol. | |
|
Redundancy & Failover Backup mechanisms to maintain service during system outages. |
System redundancy and failover provisions documented in technical info. | |
|
Uptime Guarantee SLA-based assurance of system availability. |
No information available |
This data was generated by an AI system. Please check
with the supplier. More here
While you are talking to them, please let them know that they need to update their entry.