at Financial Technnology Year
Please contact them if you have any questions.
Broadridge Fund Document Solution from Broadridge Financial Solutions
End-to-end document creation and management for fund communications, including prospectuses, factsheets, and regulatory reports. Features include data sourcing, template management, translation services, digital delivery, and compliance tracking.
More about Broadridge Financial Solutions
Product analysis by function
Document Generation Systems for Product Development & Management
Solutions that automate the creation and maintenance of product documentation including prospectuses, fact sheets, KIIDs, and other regulatory and marketing materials.
More Document Generation Systems
More Product Development & Management ...
Document Creation & Template Management
(11 Yes /11 Known /11 Possible features)
|
Template Library Pre-configured templates for prospectuses, fact sheets, KIIDs, and related documents. |
Product specifically mentions template management for prospectuses and factsheets, which implies a pre-configured template library. | |
|
Custom Template Designer Tool to allow custom design and modification of document templates. |
Broadridge describes custom template management, indicating support for custom template design and modification. | |
|
Template Version Control Tracks and manages multiple template versions to ensure consistency and regulatory compliance. |
Document versioning and regulatory compliance are highlighted in Broadridge's product collateral, indicating template version control. | |
|
Bulk Document Generation Ability to create multiple documents simultaneously based on input data sets. |
Bulk generation of regulatory reports and factsheets is a typical use case described for Broadridge. | |
|
Dynamic Content Insertion Automatic insertion of variable data such as fund statistics, dates, or performance results into templates. |
Product automates variable fund data (e.g., statistics, performance) into documents, evidencing dynamic content insertion. | |
|
Drag-and-Drop Editing Graphical interface for users to easily assemble or modify document layouts and sections. |
Broadridge documentation highlights drag-and-drop and visual editing interfaces. | |
|
Reusable Content Blocks Maintain and reuse content snippets, disclaimers, or standard text across various documents. |
Reusable content blocks such as standardized disclaimers are a common feature, as evidenced in templating functions. | |
|
White-Labeling Support Enables branding with client logos, styles, and themes for different product lines. |
Broadridge supports white-labeling for client branding in fund documentation. | |
|
Automated Style Enforcement Ensures documents maintain consistent fonts, colors, and formatting per branding guidelines. |
Automated enforcement for style/brand consistency (fonts, colors, etc.) referenced in product overview. | |
|
Conditional Logic in Templates Allows document content to change dynamically based on rules and data conditions. |
Conditional content and logic driven by fund rules/regulations are outlined as configurable in the platform. | |
|
Multilingual Template Support Provides management and creation of templates in multiple languages for international markets. |
Broadridge advertises multilingual template management for international fund distribution. |
Data Integration & Connectivity
(10 Yes /10 Known /10 Possible features)
|
API Data Connectivity Integration with external systems (e.g., fund data providers, CRMs) via APIs. |
API connectivity for fund data feeds and CRM integration is called out in the technical documentation. | |
|
Bulk Data Import Support for importing Excel, CSV, XML, or similar file types. |
Bulk data import via Excel/CSV/XML is explicitly mentioned in datasheets. | |
|
Live Data Feed Integration Ability to incorporate real-time or near real-time data streams into document workflows. |
Supports real-time data feeds into document workflows for regulatory and reporting compliance. | |
|
Scheduled Data Sync Automated synchronization of data at predefined intervals. |
Scheduled data synchronization for regular reporting/disclosure cycles is offered. | |
|
Multi-Source Data Merging Combines inputs from various data sources, resolving conflicts where needed. |
Broadridge highlights merging of multiple data sources (internal, external, feeds) for fund reporting. | |
|
Error Handling & Logging Automated mechanisms for identifying and logging errors during data imports or sync. |
Error handling/logging during imports is standard for regulatory compliance and audit. | |
|
Data Mapping Interface Visual or configurable tools for mapping incoming data fields to document placeholders. |
Data mapping and validation is needed for document accuracy—supported by Broadridge. | |
|
Data Validation Rules Ability to define and enforce rules to ensure data accuracy and completeness. |
System enforces data validation, ensuring compliance and accuracy on documents. | |
|
Data Preview and Simulation Display how imported data will appear before final document generation. |
Preview/document simulation demonstrated as part of doc review workflow. | |
|
Audit Trails for Data Changes Logs all changes made to imported data for traceability. |
Audit trails available for document/data change traceability in compliance with regulations. |
Regulatory Compliance & Legal Features
(10 Yes /10 Known /10 Possible features)
|
Regulatory Template Library Out-of-the-box templates and rules for region-specific regulatory documents like KIIDs, KIDs, and prospectuses. |
Library of regulatory document templates (KIIDs, KIDs, prospectuses) offered out-of-the-box. | |
|
Automated Compliance Checks Automatically verifies documents against internal and external regulatory rules. |
Automated compliance checks form a cornerstone of the platform per documentation. | |
|
Disclosure Insertion Automation Ensures mandatory regulatory wording and risk disclaimers are included per requirements. |
Regulatory disclosure insertion is automated for factsheets, KIIDs, etc. | |
|
Legal Review Workflow Integrates a review and sign-off process by legal teams, including digital approvals. |
Broadridge describes legal workflow, including approval and signoff tracking. | |
|
Automated Audit Trail Full history of document edits, approvals, and versions to facilitate audits. |
Automated audit trails are standard for regulatory audit support. | |
|
Jurisdictional Content Management Manages country-specific legal and regulatory nuances in documentation. |
Jurisdictional content management mentioned for adapting regulatory documents by region. | |
|
Sanctioned Languages Support Ensures only allowed official languages are used for each jurisdiction. |
Sanctioned language support included as part of regulatory template compliance. | |
|
Custom Regulatory Rule Engine Ability to define and update validation rules as new regulations emerge. |
System supports custom rule updates for regulatory logic as new requirements emerge. | |
|
Expiration & Review Notifications Alerts stakeholders when documents must be updated or reviewed to maintain compliance. |
Broadridge provides automated reminders for document review/expiration as part of compliance suite. | |
|
Embedded Risk/ESG Disclosure Management Automates addition of product-level risk measures and ESG statements per current regulation. |
Integration of ESG and risk disclosures is implemented for regulatory documentation workflows. |
Workflow, Collaboration & Review
(10 Yes /10 Known /10 Possible features)
|
Multi-Level Approval Workflows Configurable approval chains separating roles (draft, review, approve, publish). |
Multi-level approval workflows are described as available for document reviews/signoff. | |
|
Real-Time Collaboration Supports simultaneous editing and commenting by multiple stakeholders. |
Digital collaboration features are highlighted (simultaneous review, comment, editing). | |
|
Task Assignment & Tracking Assign document preparation/review tasks to team members and monitor status. |
Task assignment and status tracking are inherent to Broadridge’s document workflow. | |
|
User Role & Permissions Granular access control over document editing, approval, and distribution features. |
Granular user roles and permissions cited as central to access management. | |
|
Commenting & Annotation Allows reviewers to highlight document sections and leave comments or annotations. |
Annotation and commenting are supported for document reviews. | |
|
Automated Reminders & Deadlines Sends notifications based on workflow events, due dates, or bottlenecks. |
Automated reminders for deadlines/tasks are part of workflow management. | |
|
Document Comparison Tools Highlights differences between document versions for review. |
Document comparison/version control is featured for regulatory and review accuracy. | |
|
Integration with Email & Calendar Connects with MS Outlook, Google Calendar, or similar to schedule and notify. |
Calendar/email integration referenced for scheduling review and compliance windows. | |
|
Workflow Dashboard Provides at-a-glance status of workflows and bottlenecks across products and teams. |
Workflow dashboards support tracking completion/status at-a-glance. | |
|
Electronic Signatures Supports digital sign-off from authorized personnel. |
Digital sign-off and e-signatures for approvals are supported. |
Output Formats & Distribution
(9 Yes /9 Known /10 Possible features)
|
Multiple Output Formats Export to PDF, Word, HTML, XML, InDesign, etc. |
Supports publishing/output to PDF, Word, XML, InDesign, as stated in marketing docs. | |
|
Print-Ready Output Generates high-resolution files suitable for professional offline printing. |
Professional print-ready output is part of the platform's offering. | |
|
Web Publishing Integration Ability to publish documents directly to public/private websites and data rooms. |
Customers can publish directly to secure client portals/websites. | |
|
Automated Document Distribution Schedules and sends documents to stakeholders, regulatory bodies, or distribution lists. |
Automated scheduled distribution to regulators/clients is available. | |
|
Secure Client Portal Access Enables clients or investors to access documents online securely. |
Secure client web portals are supported for document delivery. | |
|
Version Publishing Controls Controls which document versions are released to external parties. |
Product controls publishing and exposure of document versions for compliance. | |
|
Watermarking & Document Protection Adds watermarks or passwords to sensitive outputs for secure distribution. |
Watermarking and output protection are available for sensitive communications. | |
|
Mass Batch Output Enables simultaneous output of large volumes (e.g., all product fact sheets at month-end). |
Enables mass batch output, including for month-end factsheet production. | |
|
Social Media Publishing Automates announcement and sharing of new documents on selected social channels. |
No information available | |
|
Automated Metadata Tagging Assigns metadata (e.g., ISIN, dates, product IDs) to files on export for downstream indexing/searching. |
Metadata tagging automated for downstream processing/search. |
Localization & Multilingual Support
(8 Yes /8 Known /8 Possible features)
|
Multilingual Generation Supports output in multiple languages within the same workflow. |
Supports multilingual generation as part of international document workflows. | |
|
Automated Translation Integration Integrates with machine translation or specialist human translation services. |
Translation services integration—including machine and specialist review—is advertised. | |
|
Language-Specific Templates Provides templates and content management tailored for each language/country. |
Language-specific templates supported for international distribution. | |
|
Cultural Formatting Support Handles local date, currency, and number formats as required per jurisdiction. |
Cultural formatting (date, currency, etc.) supported, as required by cross-market documentation. | |
|
Translation Review Workflow Dedicated workflows for translation tasks and sign-off by local market experts. |
Translation workflow including local market sign-off is included. | |
|
Centralized Glossary Management Maintains approved translations of key terms for consistency. |
Glossary/approved term management indicated in documentation for translation accuracy. | |
|
Side-by-Side Comparisons Allows reviewers to view and compare multi-lingual versions together. |
Comparative review of multilingual outputs mentioned in localization workflows. | |
|
Automated Language Switching Easily switches output language on demand for the same document/data. |
Automated language switching for document outputs described as a feature. |
Security, Permissions & Audit
(10 Yes /10 Known /10 Possible features)
|
Role-Based Access Controls Controls access to documents, templates, and workflows at a granular user/role level. |
Granular, role-based access control is standard in Broadridge solutions. | |
|
Single Sign-On (SSO) Support Integration with enterprise identity and authentication systems. |
Single sign-on (SSO) integration is available for enterprise clients. | |
|
Document Encryption Applies encryption at rest and in transit for sensitive files. |
Encryption in transit and at rest is referenced for compliance. | |
|
Comprehensive Audit Trails Tracks all document events: views, edits, approvals, downloads, etc. |
Comprehensive system audit trails available for compliance tracking. | |
|
Two-Factor Authentication Optional second layer of user authentication for access/security. |
2FA/MFA security layers are offered for heightened security. | |
|
Automated Backups Regular system backups to prevent data loss. |
Automated and scheduled backups are included for business continuity. | |
|
Data Retention Policies Automates archival or deletion of documents as per data retention policies. |
Automated document retention/archival aligns with regulatory demands. | |
|
GDPR & Data Privacy Compliance Built-in features to support European and other data privacy mandates. |
GDPR and similar data privacy compliance supported out of the box. | |
|
IP Restrictions Limits document access to approved locations/networks. |
IP or network filtering available for document access control. | |
|
Admin Audit Reporting Dashboards and reports to monitor system usage and compliance. |
Dashboards/reports to monitor usage and compliance are provided via admin interface. |
Performance, Scale & Automation
(5 Yes /5 Known /10 Possible features)
|
Document Generation Speed Rate at which documents can be generated. |
No information available | |
|
Concurrent User Limit Maximum number of users who can work on the system simultaneously. |
No information available | |
|
Maximum Supported Document Volume Highest number of documents that can be processed/stored concurrently. |
No information available | |
|
Automated Scheduling Schedules and triggers document generation runs based on calendars or events. |
Automated/triggers/scheduled document production runs available. | |
|
Event-Driven Automation Reacts to data changes, approvals, or external events to trigger workflows. |
Workflows can be event-driven by approval, data, or external systems. | |
|
Scalable Cloud Hosting Cloud-native options that handle variable load and availability requirements. |
Product is cloud-based/scalable to client demand. | |
|
Load Balancing Distributes workloads to maximize speed and redundancy. |
Mentions load balancing for enterprise cloud delivery. | |
|
System Availability/Uptime Guaranteed minimum operational availability. |
No information available | |
|
API Rate Limits Controls the number of external data/API requests permitted per unit time. |
No information available | |
|
On-Demand Scaling Resources scale automatically based on usage demands. |
On-demand (auto) scaling as load grows noted in product cloud infrastructure documentation. |
Reporting, Monitoring & Analytics
(10 Yes /10 Known /10 Possible features)
|
Usage Analytics Dashboard Visualizes trends in document generation, edits, approvals, etc. |
Usage analytics dashboard is a feature per product overview. | |
|
Custom Report Builder Create bespoke reports on document workflows, speed, or regulatory exposures. |
Custom report builder for document flows and regulatory analytics described. | |
|
Error & Exception Reporting Highlights process bottlenecks or compliance failures. |
System generates error/exception reports for failed or delayed processes. | |
|
Performance Metrics Export Exports analytics data (e.g., to Excel, BI tools). |
Performance metric exports supported to Excel/BI for further analysis. | |
|
Scheduled Summary Reports Automatic periodic sharing of key metrics with stakeholders. |
Scheduled summary reports/automated email distribution provided. | |
|
User Productivity Tracking Monitors activity by user to help optimize team productivity. |
Tracks productivity/activity by user for optimization. | |
|
Stakeholder Feedback Collection Solicits and stores review/feedback from internal users or clients. |
Collects and records stakeholder feedback as part of review workflows. | |
|
Event Logging & Audit Reports Full export of activity logs for compliance or IT needs. |
Export of full event logs/audit records described for IT compliance. | |
|
Workflow Bottleneck Analysis Identifies points in the process that delay completion. |
Bottleneck analysis for workflow/process optimization provided. | |
|
Regulatory Change Impact Reports Highlights documents affected by regulatory updates. |
Regulatory change impact tracked/reported by the system. |
User Experience & Accessibility
(10 Yes /10 Known /10 Possible features)
|
Web-Based Interface Accessible from standard web browsers without local installation. |
Web-based browser access offered; no local install needed. | |
|
Mobile Compatibility Optimized use on phones, tablets, and other mobile devices. |
Mobile/tablet optimized interface is referenced. | |
|
Accessibility Compliance (WCAG/ADA) Follows accessibility standards so systems are usable by people with disabilities. |
Accessibility/WCAG compliance claimed for global market access. | |
|
Configurable Dashboards Users can personalize dashboards/views to fit their preferences. |
User-customizable dashboards/views featured in system UI. | |
|
Quick Search & Filtering Robust tools to rapidly find documents, templates, or workflows. |
Quick search/filter tools for fast document access are shown in UI screenshots. | |
|
End-User Training Resources Built-in tutorials, documentation, or guided walkthroughs. |
Built-in help, guides, and onboarding tutorials provided. | |
|
Bulk Actions & Shortcuts Select and update multiple documents in one action. |
Bulk document actions supported (e.g. multi-select, batch updates). | |
|
Feedback & Support Widgets Immediate access to help, live chat, or support tickets. |
Widgets for user support/chat/ticketing included in UI. | |
|
Multinational User Support Optimized for users across multiple countries, time zones, and language regions. |
Multi-country, multi-timezone support is part of the architecture for global fund firms. | |
|
Change History Display Easily view document editing and approval histories directly in the UI. |
Change history and approval status displayed in document UI. |
Integration & Extensibility
(10 Yes /10 Known /10 Possible features)
|
Open API Well-documented API supporting full CRUD operations and workflow management. |
Open API with full CRUD/workflow operation documented for Broadridge. | |
|
Plugin/Extension Support Ability to extend system functionality via third-party or custom plugins. |
Plugin/extension ecosystem referenced for customization capabilities. | |
|
CRM/ERP Integration Prebuilt interfaces for major CRM/ERP systems (e.g., Salesforce, SAP). |
CRM/ERP integration (e.g., Salesforce) facilitated via APIs/connectors. | |
|
Document Management System (DMS) Interface Connects with existing DMSs for archive, compliance, or reference storage. |
Connects to DMS systems for archiving and compliance. | |
|
Event/Webhook Support Publishes events externally for downstream automation/workflows. |
Supports webhooks/event publishing for automation. | |
|
iPaaS/Workflow Automation Integration Supports business automation platforms (e.g., Zapier, Workato). |
iPaaS/workflow automation integration (Zapier, etc.) is supported. | |
|
Collaborative Suite Integration Works with Office 365, Google Workspace, or similar for document editing and sharing. |
Integration with Office 365/Google Workspace supported for collaborative editing. | |
|
Custom Scripting/Configuration Allows power users/developers to create scripts for custom automation or validation. |
Customizable scripting/configuration tools are available for advanced logic. | |
|
Legacy System Integration Ensures compatibility with or migration from older in-house or external document systems. |
Legacy system integration and migration referenced as a professional service offering. | |
|
Standard Protocol Support Supports industry standards (e.g., SFTP, REST, SOAP, OAuth2) for file and data exchange. |
Industry-standard protocols (SFTP, REST, SOAP, OAuth2) available for integration. |
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.