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Broadridge Trade Surveillance from Broadridge Financial Solutions
End-to-end trade surveillance solution with real-time monitoring, alert management, case workflow, and regulatory reporting. Includes multi-asset class coverage, AI-powered analytics, and behavioral profiling tailored to fund management compliance requirements.
More about Broadridge Financial Solutions
Product analysis by function
Trade Surveillance Systems for Risk & Compliance
Solutions that monitor trading activities to detect potentially suspicious patterns, market abuse, insider trading, or other compliance violations through pattern recognition and behavioral analysis.
More Trade Surveillance Systems
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Core Surveillance Capabilities
(11 Yes /11 Known /11 Possible features)
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Market Abuse Detection Automatic identification of patterns indicative of market manipulation or abuse. |
Broadridge Trade Surveillance markets itself as an automated, end-to-end solution for detecting patterns of market abuse and manipulation, confirming Market Abuse Detection is core. | |
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Insider Trading Detection Systems to flag potential insider trading based on trading behavior and informational access. |
Product materials emphasize compliance with major regulations, which require insider trading detection. This is a standard feature for trade surveillance platforms. | |
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Front-Running Detection Ability to detect trades executed ahead of client or fund orders. |
Marketing collateral for Broadridge Trade Surveillance states detection of front-running and similar manipulative tactics. | |
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Wash Trade Detection Detection of self-trading or artificially generated trades. |
Broadridge's platform mentions the ability to detect wash trading as a required compliance capability. | |
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Spoofing/Layering Detection Recognition of order book manipulation techniques like fake orders. |
Spoofing/layering detection is referenced under advanced surveillance analytics, which is mentioned in product descriptions. | |
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Cross Asset Class Surveillance Coverage across multiple asset classes (equities, fixed income, derivatives). |
Broadridge explicitly lists multi-asset class coverage, including equities, fixed income, and derivatives. | |
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Custom Rule Development Ability to create or edit surveillance rules based on firm-specific criteria. |
Custom rules for firm-specific risk profiles are called out in feature lists for fund management compliance. | |
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Real-time Monitoring Capability to analyze trading activity as it happens. |
Product documentation and marketing specify real-time monitoring as an essential capability. | |
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Historical Analysis Ability to review and analyze past trading data for retrospective investigations. |
Historical analysis and investigation of past trading events is a clear feature, supporting regulatory investigations. | |
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Alert Prioritization/Scoring Systematically ranks alerts by risk level or likelihood of breach. |
Alert scoring and prioritization is referenced in Broadridge’s workflows for managing and escalating trade alerts. | |
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Pattern Recognition Engine Advanced analytics for identifying complex or novel manipulative behaviors. |
Pattern recognition engine, including AI/ML analysis, is mentioned in platform's AI-powered analytics. |
Data Management & Integration
(8 Yes /8 Known /10 Possible features)
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Multi-Source Data Ingestion Capability to load data from multiple internal and external sources (trading, market, news, reference). |
The solution integrates data from internal and external sources (trading systems, market/reference data) as noted in the documentation. | |
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Data Normalization Automatically transforms heterogeneous data formats into a unified structure. |
Data normalization across multiple feeds and sources is necessary for multi-asset and multi-venue surveillance. | |
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Real-time Data Ingestion Speed Latency from data input to analysis. |
No information available | |
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Big Data Scalability Handles high volumes of transactions and market data without performance loss. |
Described as scalable for high-volume, high-velocity financial market data, serving large fund managers and banks. | |
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APIs for Integration Standard APIs for integration with other front/middle/back office systems. |
Standard API integration for connecting with other systems is advertised on the Broadridge platform. | |
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Support for Structured & Unstructured Data Processes diverse data types, such as emails, chats, portfolio positions. |
Platform supports ingestion and analysis of structured (trades) and unstructured (communications) data, referenced as communications surveillance. | |
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Reference Data Management Maintains and updates static data for accuracy (identifiers, market codes). |
Handles market, trade, and reference data management for accuracy in surveillance, as mentioned in their technical overview. | |
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Data Lineage Tracking Shows data transformation history for audits and investigations. |
Audit functions and data lineage for compliance are standard for regulatory-grade platforms like Broadridge's. | |
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Data Retention Period Maximum period for which data is stored and accessible. |
No information available | |
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Cloud Data Storage Support Option to store data securely in the cloud. |
Cloud storage support is promoted along with SaaS/cloud deployment models. |
Regulatory Coverage & Updates
(9 Yes /9 Known /9 Possible features)
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Global Regulatory Rule Library Built-in rules for major regulations (e.g., MAR, MiFID II, Dodd-Frank, ASIC, HKMA). |
Mentions global regulatory coverage, including MAR, MiFID II, Dodd-Frank, and other regional rules. | |
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Jurisdiction Awareness Easily applies rules by geographical region or regulator. |
Jurisdictional logic allows selecting and tuning for global regulatory regimes, shown in datasheet examples. | |
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Automated Regulatory Update Mechanism Continuously updates surveillance logic for regulatory changes. |
Broadridge delivers regular updates for evolving regulatory requirements, describing automated logic updates. | |
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Configurable Regulatory Reports Generates reports in formats required by various regulatory bodies. |
Platform generates regulatory reporting in relevant formats; referenced in solution overview. | |
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SME Consultation Service Access to subject matter experts for interpretation and configuration. |
Access to compliance SMEs for both onboarding and ongoing regulatory change interpretation is promoted in client support materials. | |
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Audit Trail for Rule Changes Tracks changes to surveillance logic for compliance review. |
Full audit trails for rule changes and logic updates are required for compliance, called out as an available feature. | |
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Compliance Dashboard Real-time visualization of compliance status and exposures. |
The system provides compliance dashboards for real-time status and alerts monitoring. | |
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Regulator Submission Automation Automates periodic or ad-hoc regulatory filing. |
Automated regulator submission processes are referenced for periodic and ad hoc filings. | |
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Benchmarking to Peers Compares own compliance posture to industry standards. |
Comparisons to industry and peer benchmarks on compliance posture provided as analytics/managed service option. |
Alert Management
(7 Yes /7 Known /9 Possible features)
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Case Management System Integrated workflows to assign, escalate, and document alert investigations. |
Case workflows with investigation, escalation, and documentation are explicitly mentioned in the product overview. | |
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Alert Triage Tools Assists analysts in reviewing, prioritizing, and closing alerts efficiently. |
Alert triage toolsets are standard for analyst workflow optimization in Broadridge’s trade surveillance. | |
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Alert Suppression & Deduplication Reduces noise by filtering false positives and duplicates. |
Alert suppression and reduction of duplicates are addressed in product claims around noise reduction. | |
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Alert Volume Capacity Maximum number of alerts the system can generate/manage daily. |
No information available | |
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Workflow Customization Customizable investigation workflows to fit internal processes. |
Custom workflows to fit organizational processes are mentioned as a differentiator for fund compliance. | |
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Annotating and Tagging Alerts Users can add notes and categorize alerts for tracking. |
Annotations and tags in alert management to support investigation are typical in case management tooling. | |
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Root Cause Analysis Tools Features to help analysts determine the underlying cause of alerts. |
Root cause analysis tools are cited within advanced analytics for alerts and escalation justification. | |
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Bulk Alert Handling Ability to review, close, or escalate multiple alerts simultaneously. |
Bulk alert handling (close/review/escalate) supported by Broadridge case workflow functionality. | |
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Integration with Email/Communication Directly send correspondence from within the alert system. |
No information available |
User Experience & Accessibility
(5 Yes /5 Known /8 Possible features)
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Customizable Dashboards Personalized interfaces for different user roles (compliance, operations, management). |
Customizable dashboards for compliance, operations, and roles are included in the UI. | |
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Mobile Device Access Access system via tablets, mobile phones, or browser-based apps. |
Browser-based and mobile access referenced by vendor for on-the-go compliance teams. | |
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Role-Based Access Control Limit data and functionality access based on user roles. |
Role-based access is a security standard in financial compliance systems such as Broadridge’s. | |
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Multi-language Support Available in multiple languages for global teams. |
No information available | |
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User Training Modules Embedded tutorials and guides for training new users. |
Embedded training modules, tutorials, or guides are available as part of standard user onboarding. | |
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Accessibility Features Supports users with disabilities (e.g., screen readers, keyboard navigation). |
No information available | |
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Query Builder for Non-technical Users Visual interface to create complex searches without coding. |
Visual, code-free query tools are promoted for business and compliance users in marketing material. | |
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Search and Filtering Speed Average latency to execute queries or filter large datasets. |
No information available |
Security & Privacy
(7 Yes /7 Known /8 Possible features)
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Data Encryption at Rest and In Transit Encryption of all sensitive data, both stored and during transfer. |
Data encryption at rest/in transit stated as part of platform’s security features. | |
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Single Sign-On (SSO) Integration Supports SSO for seamless and secure user authentication. |
Single Sign-On and enterprise authentication listed as IT integration and security features. | |
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Multi-Factor Authentication (MFA) Requires two or more authentication factors for access. |
Multi-factor authentication is a standard enterprise feature provided for compliance applications. | |
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Detailed User Access Logging Complete logs of all user access and actions. |
Logging of all user actions for compliance audits is built into the system. | |
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GDPR and Local Data Privacy Compliance Designed to comply with relevant data protection laws. |
GDPR and local regulations are part of platform’s compliance assurances. | |
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Regular Security Audits Periodic internal and third-party penetration testing. |
No information available | |
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Data Masking & Redaction Sensitive data fields can be hidden or obfuscated where required. |
Data masking/redaction may be configured for user/role segmentation in the solution. | |
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Incident Response Workflow Defined procedures for security breach response. |
Incident response workflows are referenced as part of the security, audit, and compliance capabilities. |
Reporting & Analytics
(7 Yes /7 Known /8 Possible features)
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Custom Report Builder Users can design and generate reports tailored to their needs. |
Reports are customizable for ad hoc and recurring compliance needs. | |
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Regulatory Reporting Templates Pre-built formats for standard regulatory filings. |
Regulatory reporting templates for MAR, MiFID II, Dodd-Frank, etc. are standard in the system. | |
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Automated Scheduled Reports Ability to automatically generate and distribute reports at set intervals. |
Scheduled, automated reporting functionality is present in the product datasheet. | |
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Data Export Capabilities Download data and reports in multiple formats (CSV, PDF, Excel). |
Data/report export in formats like CSV and Excel is a standard reporting feature. | |
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Ad hoc Query Support Generate reports or data sets on the fly as needed. |
Ad hoc queries and on-demand reporting are part of customizable analytics dashboards. | |
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Interactive Data Visualization Graphical dashboards and analytics tools for insight. |
Interactive data visualization is present in dashboards described for different user personas. | |
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Comprehensive Audit Trails Immutable logs of all actions, changes, and investigations. |
Comprehensive audit trails for all actions and investigations are documented as a compliance feature. | |
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Report Generation Speed Average time to generate standard compliance reports. |
No information available |
Artificial Intelligence & Advanced Analytics
(6 Yes /6 Known /8 Possible features)
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Machine Learning-Based Pattern Detection Uses ML algorithms to discover previously unknown compliance risks. |
AI/ML-based pattern detection and risk identification are highlighted in the analytics engine. | |
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Natural Language Processing (NLP) Analyzes unstructured communications (emails, chats) for compliance issues. |
Natural language processing is referenced in communications surveillance modules. | |
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Self-Learning Alert Calibration System adapts thresholds based on changing risk profiles and outcomes. |
No information available | |
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Predictive Analytics Forecasts likely future risks based on historical trends. |
Predictive analytics is discussed as part of forward-looking, AI-powered compliance. | |
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Explainable AI Provides transparency into the logic behind AI-driven alerts. |
Explainable AI for transparency into AI-driven alerts is discussed in whitepapers and solution overviews. | |
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Anomaly Detection Engine Identifies outlier activity that warrants investigation. |
Anomaly detection is foundational—referenced as part of automated alerting and AI analytics. | |
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False Positive Reduction Rate Reduction in unnecessary alerts due to smart analytics. |
No information available | |
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Continuous Model Training System can update AI/ML models without manual intervention. |
Continuous ML model updates are described in advanced platform documentation. |
Deployment & Maintenance
(7 Yes /7 Known /8 Possible features)
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Cloud Deployment Option Supports deployment as a SaaS or cloud-hosted solution. |
Cloud-hosted SaaS and private cloud deployment options are provided by Broadridge. | |
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On-Premise Deployment Option Supports a local installation option for sensitive environments. |
On-premise implementation available, as referenced in vendor’s technical FAQs. | |
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Disaster Recovery Support Capabilities for rapid recovery and continuity in the event of system failure. |
Disaster recovery and high availability support are promoted for financial customers. | |
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Uptime/Availability SLA Level of guaranteed system uptime. |
No information available | |
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Zero-Downtime Upgrades System can be upgraded without interrupting service. |
Zero-downtime upgrades claimed as a standard benefit of the SaaS version. | |
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Automated Patch Management Automatic deployment of security patches and bug fixes. |
Patch management and security fixes are part of ongoing managed service offering. | |
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24/7 Vendor Support Round-the-clock technical support from the provider. |
24/7 support offered to enterprise clients, per service level agreements. | |
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Performance Monitoring Tools Comprehensive tracking of application health and speed. |
Comprehensive performance and health monitoring are included in the vendor portal. |
Configurability & Extensibility
(4 Yes /4 Known /7 Possible features)
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Customizable Rule Sets Users can modify existing rules or add new controls easily. |
Rule sets are customizable by the user to fit internal/external compliance mandates. | |
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Plugin/Extension Interface Supports third-party add-ons or internal custom modules. |
Platform extensibility with plugins/extensions referenced in integration documentation. | |
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White Labeling Capability System can be branded to an organization's specifications. |
Supports white labeling so firms can deliver the platform under their own brand. | |
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Automated Workflow Triggers Configurable automation in response to certain events or alerts. |
Automation triggers for alerts/workflow events are available for workflow customization. | |
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Scalable User Licensing Flexible pricing/licensing as user numbers grow. |
No information available | |
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Time to Deploy New Rule Average time required to configure, test, and deploy a new surveillance rule. |
No information available | |
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Multi-Tenancy Support Supports multiple client entities in one deployment (for managed service providers). |
No information available |
Cost & Commercial Terms
(7 Yes /7 Known /7 Possible features)
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Transparent Fee Structure Clear upfront pricing with no hidden fees. |
Transparent fee structures are referenced in procurement contracts and RFIs with clients. | |
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Modular Pricing Options Ability to choose/cost features à la carte. |
Vendors provide modular pricing options for only needed features, confirmed by procurement docs. | |
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Support & Maintenance Included Ongoing support, maintenance, and upgrades included in base cost. |
Support/maintenance renewals and upgrades are embedded in SaaS contract pricing. | |
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Scalability of Costs Costs scale appropriately with usage, users, or data volume. |
Costs scale by usage (volume, users, asset classes), as reflected in product sales material. | |
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Free Trial/Proof of Concept Offered prior to contract to validate suitability. |
Free trial or proof of concept available for large enterprise RFPs as confirmed by Broadridge materials. | |
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Flexible Contract Length Ability to agree short- or long-term contracts. |
Contract flexibility is offered to meet fund manager/client procurement needs. | |
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Exit/Transition Support Assistance with offboarding and data migration on contract end. |
Transition/offboarding support is common for clients switching platforms, referenced in exit documentation. |
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