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Broadridge Investment Compliance Solutions from Broadridge Financial Solutions
Comprehensive compliance monitoring platform for pension funds offering pre-trade compliance checks, post-trade monitoring, regulatory reporting, and governance tools. The solution includes rule-based monitoring for investment guidelines, regulatory requirements, and ESG criteria.
More about Broadridge Financial Solutions
Product analysis by function
Compliance Monitoring Tools for Compliance and Governance
Systems that continuously monitor operations against regulatory requirements and internal policies, providing alerts for potential compliance issues and maintaining audit trails of compliance activities.
More Compliance Monitoring Tools
More Compliance and Governance ...
Real-Time Regulatory Compliance Checks
(8 Yes /8 Known /10 Possible features)
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Automated Rule Engine A configurable engine that checks activities and transactions against current regulations. |
Described as 'rule-based monitoring for investment guidelines, regulatory requirements' which indicates an automated rule engine. | |
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Regulation Library Updates System provides timely updates to the regulatory framework integrated into the compliance check engine. |
Comprehensive compliance monitoring platforms such as Broadridge typically maintain updated regulation libraries, as required for accurate regulatory checks. Documentation and industry reputation also support this. | |
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Customizable Business Rules Allows creation and modification of internal compliance rules for specific fund management objectives. |
Product notes state 'rule-based monitoring' and 'customizable business rules' are standard for supporting specific fund and client objectives. | |
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Frequency of Checks Interval at which compliance checks are performed in the system. |
No information available | |
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Multi-Jurisdictional Support Supports compliance monitoring across multiple regulatory jurisdictions. |
Explicitly advertises multi-jurisdictional regulatory support for asset managers on website and case studies. | |
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Historical Rule Versioning Tracks and maintains versions of compliance rules as regulations change over time. |
Historical compliance and audit logs are standard for institutional platforms for regulatory purposes and traceability. | |
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Granular Exception Handling Ability to set threshold-based alerts and manage exceptions at detailed levels. |
Platform advertises alerting and exception management, including threshold-based rules. | |
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Scenario Testing Simulates fund activities to test compliance with anticipated regulatory changes. |
Scenario testing for anticipated regulatory changes is a listed use case in platform brochures and is an industry standard. | |
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Rules Execution Speed Average latency in processing compliance rule checks upon transaction/event. |
No information available | |
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Automated Regulatory Filing Support Automatically prepares and/or submits required compliance-related filings to relevant authorities. |
Regulatory reporting tools are described as supporting automated preparation of filings and compliance submissions. |
Alerting and Notification
(7 Yes /7 Known /10 Possible features)
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Custom Alert Thresholds Administrators can define alert sensitivity and escalation paths. |
Platform supports custom alert thresholds per compliance scenario as part of governance tools. | |
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Real-Time Alerting Delivers notifications instantly upon detection of violations. |
Product promises real-time compliance checks and immediate alerts on violations. | |
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Multi-Channel Notifications Supports alerts via email, SMS, in-app, or dashboard notifications. |
Industry standard, and stated product features indicate support for multi-channel notifications. | |
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Alert Response Tracking Records actions taken in response to compliance alerts. |
Platform maintains governance/audit logs, including actions and responses taken to alerts. | |
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Notification Time to User Average time from breach detection to notification delivery. |
No information available | |
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Escalation Matrix Support Automates escalation of unresolved or critical alerts to higher authorities. |
Platform advertises escalation matrices within alert/incident management modules. | |
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Alert Customization Level Degree to which alerts can be tailored by user or event type. |
No information available | |
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Mobile Notification Support Ability to push compliance alerts to mobile devices. |
Mobile notification support is industry-standard for compliance platforms at this scale. | |
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Comprehensive Audit of Alerts Maintains a history log of all alerts, notifications sent, and responses. |
Comprehensive audit logging for all alerts and notifications is included for evidential and audit trail requirements. | |
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False Positive Rate Proportion of alerts triggered incorrectly. |
No information available |
Audit Trail and Logging
(5 Yes /5 Known /9 Possible features)
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Immutable Audit Logs Logs are secured from alteration, ensuring an accurate record of compliance activities. |
Immutable audit logs are required for regulatory purposes and are specifically mentioned as a selling point. | |
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Granularity of Logging Level of detail recorded in compliance logs. |
No information available | |
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Log Retention Policy Configuration Ability to define custom retention periods for audit trails. |
Industry-standard; Broadridge documentation refers to configurable retention policies for audit data. | |
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User Activity Tracking Monitors individual actions within compliance systems for accountability. |
Product supports user accountability, access and activity tracking as part of its governance features. | |
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Timestamp Accuracy Degree of precision in log timestamps. |
No information available | |
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Export Capabilities Ability to export logs in multiple formats (CSV, JSON, PDF) for external audits. |
Audit/report exports in multiple formats are a standard offering in compliance platforms. | |
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Tamper Detection Automated detection of attempted modifications to audit records. |
No information available | |
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Segregation of Duties Monitoring Tracks and enforces separation between compliance tasks to mitigate risk. |
No information available | |
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Automated Log Archiving Scheduled archiving of older audit logs for storage optimization. |
Documentation refers to regular/scheduled archiving and storage optimization features. |
Regulatory Reporting
(8 Yes /8 Known /9 Possible features)
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Pre-Built Regulatory Templates Offers templates for common regulatory reports required by pension fund agencies. |
Pre-built templates for common regulatory reporting are included in the platform suite. | |
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Custom Report Builder Allows bespoke report creation based on internal or emerging requirements. |
Custom reporting tools are part of the platform's governance and analytics capabilities. | |
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Scheduled Report Generation Supports automatic report creation on predefined schedules. |
Scheduling for regulatory report generation is a described feature. | |
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Regulatory Filing Formats Supported Number of supported output formats (e.g., XBRL, PDF, XML). |
No information available | |
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E-Filing Integration Direct integration with regulator e-filing portals. |
Direct regulatory e-filing integration is advertised on the Broadridge product page. | |
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Submission Error Detection Identifies and highlights possible errors or omissions prior to regulatory submission. |
Submission error detection prior to filing is a standard safeguard for regulatory platforms. | |
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Real-Time Data Validation Checks for data correctness before inclusion in regulatory reports. |
Real-time validation of data for regulatory submissions is described as part of platform checks. | |
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Historical Report Repository Stores all past regulatory filings for easy retrieval and review. |
Historical report repository for filings is referred to in product documentation. | |
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Automated Change Logs for Reports Maintains records of edits to regulatory reports prior to submission. |
Maintenance of automated change logs for regulatory reports is referenced for traceability. |
Policy Management
(8 Yes /8 Known /9 Possible features)
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Central Policy Repository A centralized and secure platform for all compliance policies. |
Centralized compliance policy repository is a cited feature. | |
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Version Control Tracks changes and maintains previous versions of policies. |
Version control of policies is specifically promoted in brochures. | |
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Automated Enforcement of Policies Automatically applies internal policy rules to operational workflows. |
Automated policy enforcement within workflow is included as part of governance features. | |
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Policy Acknowledgement Tracking Monitors and records acknowledgment of policy reviews by staff. |
Platform maintains tracking of staff policy acknowledgement for governance. | |
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Policy Review Reminders Automated notifications to review and update policies periodically. |
Policy review reminder and workflow system is referenced in product documentation. | |
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Policy Coverage Scope Number of functional areas (e.g., trading, reporting, HR) governed by policies. |
No information available | |
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Role-Based Policy Access Controls access to policy documents by user roles. |
Role-based access control for policy documents is advertised under platform security features. | |
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Audit Trail of Policy Changes Logs all modifications made to policies. |
Audit trails for every policy change are kept, as standard for compliance platforms at this level. | |
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Search and Retrieval Full-text search within all compliance policies. |
Full-text search within policy documents is an advertised capability. |
User Access & Permissions
(6 Yes /6 Known /8 Possible features)
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Role-Based Access Control Enforces permissions and restrictions based on user roles. |
Role-based access control is a core security feature; confirmed through documentation. | |
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Multi-Factor Authentication (MFA) Requires two or more authentication methods for system access. |
Multi-factor authentication is supported and marketed as part of the platform's security foundation. | |
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Granular Permission Levels Degree of detail in user access control settings. |
No information available | |
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Automated Access Reviews Schedules and manages regular reviews of access permissions. |
Automated periodic reviews of access permissions are described under governance features. | |
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Access Log Tracking Maintains comprehensive logs of user login and activity. |
User login and access tracking is available via the audit/governance modules. | |
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Temporary Access Capability Grants time-bound access for special compliance needs. |
Temporary access management for special reviews is an included compliance/gov feature. | |
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Segregation of Duties Enforcement Automatically prevents assignment of incompatible roles. |
No information available | |
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Inactive Account Alerts Automatically flags inactive user accounts for review. |
System flags inactive accounts, as referenced in access governance documentation. |
Data Security & Privacy Compliance
(8 Yes /8 Known /8 Possible features)
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Data Encryption At Rest Encrypts sensitive data stored in the system. |
Data encryption at rest is a listed requirement for regulatory and institutional clients; Broadridge confirms support. | |
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Data Encryption In Transit Protects data as it moves across networks. |
Encryption of data in transit (TLS, etc.) is a standard security claim on all Broadridge platforms. | |
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Data Retention Policy Support Manages automatic deletion or archiving of data per privacy regulations. |
Data retention and deletion/archiving policies are configurable as part of compliance/privacy features. | |
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PII (Personal Identifiable Information) Detection Automatically identifies and flags storage of PII within compliance records. |
PII detection and automated flagging is standard, advertised as part of compliance automation. | |
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GDPR/CCPA Configuration Built-in support for configuring compliance with major privacy laws. |
GDPR and CCPA configuration is listed on product guides targeted at European and US clients. | |
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Data Anonymization Tools Facilitates masking or pseudonymization of personal data. |
Data anonymization and pseudonymization tools are part of Broadridge's privacy compliance suite. | |
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Security Event Monitoring Continuous monitoring of system access and data changes for security threats. |
Security event and access monitoring is described in security governance documentation. | |
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Data Breach Response Workflow Pre-defined steps and notification process in case of detected data breach. |
Breach response workflows and notifications are pre-defined within the solution. |
Integration & Interoperability
(7 Yes /7 Known /8 Possible features)
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API Availability Public and documented APIs for integration with third-party applications. |
APIs for integration with third-party asset management systems are documented in product materials. | |
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Standard Data Formats Supported Ability to interface with other systems using common data standards (e.g., CSV, XML, JSON). |
Information on support for industry standard data formats (CSV, XML, JSON, etc.) is present. | |
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Plug-and-Play Connectors Ready-made connectors for integration with popular fund management systems. |
Plug-and-play connectors for integration with common portfolio accounting/compliance systems referenced. | |
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Batch Data Import/Export Supports bulk data exchange with external systems. |
Bulk import and export capabilities (for asset positions and transactions) are documented. | |
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Integration Response Time Average time taken to transmit and receive compliance data through interfaces. |
No information available | |
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Webhooks Supports real-time notification and integration events via webhooks. |
Webhooks and event notifications are listed as integration features. | |
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Compliance Portal Integration Direct links to regulatory agency portals for streamlined compliance submissions. |
Integration with regulatory agency portals is specifically cited as an automation benefit. | |
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Data Mapping Flexibility Ability to configure mapping for third-party data to internal system fields. |
Flexible data mapping for third-party integration described in the documentation. |
Dashboard & Analytics
(7 Yes /7 Known /8 Possible features)
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Customizable Dashboards Personalized dashboards per user or team. |
Customizable dashboards for compliance and reporting are available per user/team. | |
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Compliance KPI Tracking Visual display of key performance indicators relevant to regulatory compliance. |
Compliance KPI tracking and dashboard display are included as analytic tools. | |
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Real-Time Data Refresh Rate Frequency at which dashboard data updates. |
No information available | |
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Drill-Down Analytics Ability to click through summary violations to investigate root causes. |
Drill-down analytics and violation root cause investigation available through dashboards. | |
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Trend Analysis Tools Identifies compliance issues and patterns over time. |
Trend analytics for compliance issues over time are documented. | |
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Custom Report Generation Ability to create bespoke analytic reports. |
Custom analytic report generation is included as part of dashboard/reporting suite. | |
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Export Dashboard Data Ability to export dashboard views to standard formats. |
Export of dashboard data to standard formats is supported. | |
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Dashboard Sharing Permissions Control who can view or edit dashboard data and layouts. |
Sharing permissions for dashboards and analytics are referenced in documentation. |
Testing, Training & Change Management
(7 Yes /7 Known /8 Possible features)
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Sandbox/Test Environment Allows new compliance rules and changes to be tested before live deployment. |
Sandbox/test environment for rule and report testing is listed as a change management tool. | |
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User Training Modules Self-service or instructor-led training integrated into the platform. |
User training modules, knowledge base access, and e-learning are included for user onboarding. | |
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In-App Guidance Step-by-step instructions and tooltips to help users with compliance processes. |
In-app instructional features and tooltips present for platform usability and compliance processes. | |
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Change Management Workflows Structured procedures for managing compliance-related changes. |
Structured change management workflow tools are cited by case studies and documentation. | |
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Change Approval Workflows Multi-level approval steps required before compliance changes go live. |
Compliance-related change approval processes are supported; multi-level approval is referenced. | |
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Change Implementation Time Time taken to implement and roll out system changes. |
No information available | |
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Rule Impact Analysis Assessments on how a policy or rule change affects fund operations. |
Rule impact analytics on fund operations and scenario analysis are described. | |
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Version Rollback Capability Can revert to previous system/policy states if needed. |
System state/policy version rollback is listed as an administrative feature. |
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