at Financial Technnology Year
Please contact them if you have any questions.
Broadridge Fund Document Management from Broadridge Financial Solutions
Streamlines document management throughout the fund lifecycle, from initial capture through processing, distribution, and compliance. Offers collaboration features and secure cloud-based access.
More about Broadridge Financial Solutions
Product analysis by function
Document Management Systems for Fund Operations
Platforms for storing, organizing, retrieving, and managing electronic documents related to fund operations, including statements, confirmations, legal documentation, and other records.
More Document Management Systems
More Fund Operations ...
Document Storage and Organization
(8 Yes /8 Known /14 Possible features)
|
Folder Hierarchies Ability to organize documents within nested folders and subfolders for logical grouping of records. |
Product documentation and marketing materials state support for organizing documents in nested structures for efficient management. | |
|
Tagging and Metadata Ability to assign tags and metadata (such as document type, date, and fund name) to enhance search and classification. |
Broadridge's site highlights advanced search and metadata-based retrieval, implying tagging and metadata assignment. | |
|
Bulk Upload Upload multiple documents at once to improve efficiency. |
Bulk upload supported as part of efficient fund document onboarding mentioned in solution features. | |
|
Version Control Track and manage multiple versions of a document with rollback and history features. |
Versioning explicitly mentioned in product factsheets as supporting compliance and audit tracking. | |
|
Document Templates Pre-defined templates for frequently used document types. |
No information available | |
|
OCR (Optical Character Recognition) Ability to extract text from scanned or imaged documents to enhance searchability. |
OCR is described as a part of 'enhanced searchability' in Broadridge solution materials. | |
|
Document Size Limit Maximum allowed size per uploaded document. |
No information available | |
|
Overall Storage Capacity Total document storage capacity provided by the system. |
No information available | |
|
Drag-and-Drop Upload User-friendly drag-and-drop interface for adding documents. |
User-friendly interface and mention of drag-and-drop features in UI demos. | |
|
Automatic File Naming Conventions Ability to standardize naming of documents during upload or save. |
No information available | |
|
Duplicate Detection Identification and warning about duplicate document uploads. |
No information available | |
|
Document Retention Policies Enforce retention, archiving, and deletion rules based on policy and compliance. |
Document retention, archiving, and automated compliance procedures are specifically called out for the fund industry. | |
|
Audit Log Track all actions performed on documents for compliance and monitoring. |
Comprehensive audit logging is a standard for compliance and is described in product literature. | |
|
Custom Taxonomy Support Support for building customized taxonomies according to fund needs. |
No information available |
Document Access and Security
(10 Yes /10 Known /14 Possible features)
|
Role-Based Access Control Granular access permissions based on user roles. |
Solution emphasizes role-based access and granular permission controls for users and teams. | |
|
Single Sign-On (SSO) Integration Integration with enterprise SSO providers for authentication. |
Single Sign-On (SSO) support is mentioned as an integration option for financial enterprise clients. | |
|
Two-Factor Authentication (2FA) Support for two-factor authentication for user logins. |
Support for strong authentication such as 2FA referenced in security documentation. | |
|
Document Encryption (At Rest) Encryption of documents stored within the system. |
Speaks to encryption at rest using industry best practices for sensitive document storage. | |
|
Document Encryption (In Transit) Encryption using HTTPS/TLS during upload/download. |
HTTPS/TLS encryption in transit called out in security standards compliance statements. | |
|
Watermarking Ability to watermark sensitive documents to deter unwanted sharing. |
No information available | |
|
Expiry Links / Secure Sharing Time-bound and access-controlled sharing of document links. |
Time-bound/secure sharing of documents is mentioned as a feature for client and external auditor collaboration. | |
|
Access Logging Detailed tracking of which users accessed which documents and when. |
Detailed user/document access logging described as available for monitoring and compliance. | |
|
Granular Permission Settings Set permissions for view, edit, or download at the document or folder level. |
Granular permissioning down to folder and document level is shown in product screenshots. | |
|
IP Restrictions Restrict access based on IP address ranges. |
No information available | |
|
User Activity Monitoring Monitor user activities related to document access and downloads in real time. |
Product emphasizes user activity and audit trail monitoring tools in feature lists. | |
|
Remote Document Deletion Ability to remove access to documents remotely if needed (e.g., when permissions change). |
No information available | |
|
Legal Hold Capabilities to place legal holds on documents for compliance or litigation purposes. |
Legal hold is explicitly mentioned as a fund compliance feature. | |
|
Data Loss Prevention (DLP) Integration Integrate with DLP solutions to prevent sensitive data exfiltration. |
No information available |
Search and Retrieval
(6 Yes /6 Known /13 Possible features)
|
Full-Text Search Ability to search for keywords throughout document content. |
Full-text search of document contents is demonstrated in product videos and described in marketing materials. | |
|
Advanced Search Filters Filter results by attributes such as date range, type, fund, tags, or uploader. |
Advanced filters such as document type, uploader, and date are displayed in search UI screenshots. | |
|
Search Speed Typical time to return results for a simple search. |
No information available | |
|
Saved Search Queries Ability to save commonly used search configurations. |
Solution includes the option to save searches for frequent queries. | |
|
Search Result Export Export search results to Excel, PDF, or other formats. |
No information available | |
|
Faceted Search Support for search refinement using hierarchical facets (i.e., fund, year, document type). |
No information available | |
|
Multi-Language Search Support for search queries in multiple languages. |
No information available | |
|
Recent Searches Access a personalized history of recent search queries. |
No information available | |
|
Search Result Ranking Prioritize and order search results by relevance. |
No information available | |
|
Wildcard and Fuzzy Search Advanced search capabilities with partial matches or misspellings. |
No information available | |
|
Batch Retrieval Retrieve and download multiple documents with a single action. |
Batch document download is a feature highlighted for efficiency in fund audit and reporting use cases. | |
|
Quick Preview Preview contents of documents directly in the search results window. |
Document preview in search results is shown in user interface overviews. | |
|
Search Audit Trail Log and monitor search activities for compliance. |
Search activity logs are available, supporting compliance workflows. |
Workflow Automation and Collaboration
(10 Yes /10 Known /13 Possible features)
|
Document Approval Workflows Support for custom approval flows, including multiple reviewers and sequential or parallel approval. |
Approval workflows are a cornerstone feature for fund document management listed on the product page. | |
|
Task Assignment Assign review or follow-up tasks related to specific documents. |
Tasks can be assigned to users for document review and approval, per user manual. | |
|
Workflow Templates Reusable workflow structures for recurring fund processes. |
Workflow templates and automation are advertised as part of Broadridge workflow features. | |
|
Automated Reminders and Notifications Trigger email or system notifications based on workflow events (e.g., pending approvals, expiries). |
Product FAQs reference automated email and platform notifications for workflow and approval events. | |
|
Commenting and Threaded Discussions Support threaded communication on documents for context and audit trail. |
No information available | |
|
Document Checkout/Check-in Prevent conflicting edits by requiring check-out for editing and enforced check-in. |
Check-in/check-out and lock features are referenced for document collaboration control. | |
|
e-Signature Integration Integration with electronic signature platforms for contract finalization. |
eSign integration with DocuSign and other providers is available. | |
|
Collaboration Limits Maximum number of simultaneous collaborators per document. |
No information available | |
|
Automated Filing Automatic categorization or routing of documents based on metadata. |
Automated document classification and routing based on metadata is a promoted automation feature. | |
|
Escalation Rules Automated escalation paths for overdue approvals or reviews. |
No information available | |
|
Workflow Status Dashboards Visual dashboards for workflow status, bottlenecks, and pending tasks. |
Status dashboards for workflows are visualized in demonstrations and noted on product pages. | |
|
Integration with Communication Tools API or direct integration with email, Slack, Teams, or similar platforms. |
APIs and connectors for common collaboration platforms like Slack and Teams described in integration documentation. | |
|
Workflow Audit Logs Detailed logs of workflow actions and status changes for compliance. |
Workflow events and audit logs for compliance and user tracking are a key part of the platform. |
Integration and Interoperability
(6 Yes /6 Known /12 Possible features)
|
API Access Provision of RESTful or SOAP APIs to enable integration with external systems. |
RESTful API and SOAP integrations available for enterprise systems. | |
|
Data Import/Export Support for importing and exporting data using CSV, XML, or other common formats. |
Data can be imported/exported in industry formats such as XML and CSV. | |
|
Integration with Core Fund Systems Direct connectivity with accounting, portfolio management, and trade order management platforms. |
Direct integrations with accounting and portfolio systems noted for asset managers. | |
|
ERP Integration Capabilities to link with enterprise resource planning software. |
Integration with ERP systems listed in the interoperability section. | |
|
Single Sign-On (SSO) Providers Supported Number of SSO providers that can be integrated. |
No information available | |
|
Email System Integration Pull documents directly from corporate email for filing. |
No information available | |
|
Custom Script Support Support for deploying custom automation scripts. |
No information available | |
|
Mobile App Integration APIs or connectors for use within mobile platforms. |
Mobile APIs available for iOS and Android documented in developer portal. | |
|
Webhook Support Ability to trigger events in other systems via webhooks. |
Event-driven integration described, with webhook support for notifications and system triggers. | |
|
Integration Marketplace Access to a marketplace of pre-built integrations (e.g., DocuSign, Salesforce). |
No information available | |
|
SSO Protocols Supported Types of SSO protocols supported (e.g., OAuth, SAML, OpenID). |
No information available | |
|
Third-party Audit Trail Integration Push audit data to third party GRC (Governance, Risk, and Compliance) platforms. |
No information available |
Compliance and Regulatory Features
(10 Yes /10 Known /12 Possible features)
|
Regulation-Specific Retention Rules Configurable retention settings for compliance with SEC, MiFID, AIFMD, etc. |
Compliance module provides options for regulatory-specific document retention policies and rules. | |
|
WORM (Write Once, Read Many) Support Technological support for immutable storage required for compliance. |
Product states support for WORM storage for compliance. | |
|
Audit Trail Generation Automatic and comprehensive audit trail for user/document actions. |
Full and automatic audit trail generation described in compliance solution description. | |
|
Access Certification Workflows Process for periodic recertification and validation of access rights. |
Access recertification flows are referenced in compliance and audit process documentation. | |
|
Legal Hold Management Support placing and removing legal holds for litigation readiness. |
Legal hold management is a specific feature per documentation for funds facing litigation. | |
|
GDPR and Privacy Support Controls and settings to satisfy GDPR and other privacy laws. |
Data privacy and GDPR controls are referenced for European and global clients. | |
|
eDiscovery Tools Built-in support for document collection and export for audits or investigations. |
eDiscovery tools, including document collections and exports, are part of audit service offerings. | |
|
Compliance Policy Enforcement Capabilities to enforce internal and regulatory document policies. |
Policy enforcement engine ensures both internal and regulatory controls. | |
|
Automated Compliance Reporting Automatic generation of compliance status and incident reports. |
Automated reporting for compliance incidents and status available as per reporting features. | |
|
Customizable Audit Fields Track and include client-specific fields in audit logs. |
No information available | |
|
Regulatory Archive Integration Ability to connect with regulatory-compliant offsite or cloud archive providers. |
No information available | |
|
Tamper Evident Logs Logging system that makes record tampering easily detectable. |
Product marketing states support for tamper-evident logging for compliance. |
Performance and Scalability
(5 Yes /5 Known /10 Possible features)
|
Concurrent User Capacity Maximum supported number of simultaneous users without performance degradation. |
No information available | |
|
Supported File Count Number of documents the system can manage efficiently. |
No information available | |
|
Maximum Upload Speed Speed limit of document upload per session. |
No information available | |
|
Uptime SLA Guaranteed system uptime per contractual agreement. |
undefined High system uptime with SLA commitments mentioned in offering. |
|
|
Response Time Average platform response time for user actions. |
No information available | |
|
Redundancy and Failover Automatic failover and redundancy mechanisms for continuous availability. |
Redundant storage and disaster recovery protocols explicitly referenced. | |
|
Load Balancing Built-in load balancing to distribute user activity evenly. |
Load balancing is described as part of cloud infrastructure. | |
|
Scalable Storage Backend Ability to expand storage seamlessly as document volume grows. |
Scalable storage backend is inherent in their cloud-based architecture. | |
|
Multi-Region Deployment Deploy system instances across multiple regions for performance and disaster recovery. |
Available for global operations with multi-region deployment for disaster recovery. | |
|
Disaster Recovery Time Objective Expected time to recover from a major system disruption. |
No information available |
User Experience and Interface
(6 Yes /6 Known /11 Possible features)
|
Intuitive Dashboard User-friendly interface with a central dashboard for navigation and alerts. |
Modern dashboard UI with alerts and navigation for fund managers is promoted. | |
|
Customizable Views Users can customize views and sort orders to fit individual preferences. |
User interface customization and sortable document views described in user guides. | |
|
Accessibility Compliance Support for ADA/WCAG accessibility standards. |
No information available | |
|
Responsive Design Interface adapts for use on mobile, tablet, and desktop. |
Responsive web UI for desktop, tablet, and mobile use per product specification. | |
|
Multi-Language UI User interface can be displayed in multiple languages. |
No information available | |
|
In-app Help and Tutorials Onboarding help, guides, and contextual tutorials built-in. |
Onboarding guides and help resources available in-app as per customer support information. | |
|
Theme/Brand Customization White-labeling or branding capabilities. |
Branding and theme customization options for enterprise clients highlighted in marketing. | |
|
Keyboard Shortcuts Support for keyboard shortcuts to speed up navigation. |
No information available | |
|
Pinned / Favorite Documents Ability to pin or favorite documents for quick access. |
No information available | |
|
Recent Activity Feed List/display of recent user and document activity. |
No information available | |
|
Notification Center Central repository for all user alerts and notifications. |
Unification of all notifications in a centralized dashboard per UI overview. |
Reporting and Analytics
(9 Yes /9 Known /10 Possible features)
|
Activity Reports Usage reports on uploads, downloads, shares, and other activities. |
Detailed usage and activity reports are available to administrators. | |
|
Document Lifecycle Reports Reporting on document creation, changes, and deletion history. |
Document history tracking and lifecycle reporting are documented for compliance. | |
|
Compliance Reports Pre-built or configurable reports supporting compliance audits. |
Compliance-focused reporting is a standard function and referenced in product sheets. | |
|
System Health Dashboards Visualization of system uptime, usage, and performance metrics. |
System health and performance dashboards are provided for IT and operational staff. | |
|
Custom Report Builder Ability for users to build and schedule custom reports. |
Custom reports can be built and scheduled for users with appropriate permissions. | |
|
Exportable Analytics Data Export analytics and reporting data in various formats for additional analysis. |
Analytics and reporting data export supported as per reporting module documentation. | |
|
Report Scheduling Automated generation and delivery of periodic reports (daily, weekly, monthly). |
Ability to schedule recurring reports through the dashboard as described in user guide. | |
|
User Adoption Metrics Measure adoption and usage across teams or departments. |
Monitoring user adoption and engagement appears in admin analytics. | |
|
Exception Reports Highlight documents or actions that fall outside of expected controls or workflows. |
Exception and outlier reporting is included in audit and compliance modules. | |
|
API Access to Reports Developer access to raw report data via API. |
No information available |
Backup, Recovery, and Business Continuity
(5 Yes /5 Known /10 Possible features)
|
Automated Backups Regular, scheduled backups of all document and metadata. |
Scheduled and automated backups are a part of Broadridge's business continuity process. | |
|
Backup Frequency Interval at which backups are performed. |
No information available | |
|
Point-in-Time Recovery Recovery to a specific point in time in the event of data loss. |
Support for point-in-time recovery is referenced in technical whitepapers. | |
|
Offsite Backup Storage Copies of backups stored in geographically separate locations. |
Offsite backup to separate data centers described in disaster recovery plans. | |
|
Recovery Time Objective (RTO) Estimated time required to restore service after an incident. |
No information available | |
|
Recovery Point Objective (RPO) Maximum tolerable period in which data might be lost. |
No information available | |
|
Backup Encryption Backed up data is encrypted at rest. |
Backups are encrypted at rest, as part of the platform's security controls. | |
|
Disaster Recovery Testing Regular, scheduled disaster recovery drills/tests. |
Regular disaster recovery testing claimed in business continuity compliance statements. | |
|
Continuous Data Protection Real-time or near real-time backup for critical documents. |
No information available | |
|
Backup Verification Automated verification to ensure backup integrity and completeness. |
No information available |
Mobile and Remote Access
(4 Yes /4 Known /10 Possible features)
|
Native Mobile Apps Availability of dedicated iOS and Android applications. |
Native mobile apps for iOS and Android available per App Store and Play Store listings. | |
|
Mobile Browser Optimization Web interface optimized for mobile browser use. |
Web portal optimized for mobile browsers shown in feature descriptions. | |
|
Offline Document Access Ability to view key documents without an active internet connection. |
No information available | |
|
Remote Wipe Administrators can remotely delete sensitive data from lost or compromised devices. |
No information available | |
|
Push Notifications Mobile device alerts for important workflow events. |
No information available | |
|
Mobile Document Upload Direct document upload from phone camera or file system. |
Document upload from mobile devices supported, including photos and file attachments. | |
|
Mobile Biometric Login Use of device biometrics (fingerprint, FaceID) for authentication. |
Mobile authentication using biometrics (e.g., fingerprint/FaceID) as per app documentation. | |
|
Device Enrollment Limits Maximum number of devices that can be registered per user. |
No information available | |
|
Mobile Metadata Entry Ability to add tags/metadata to documents during mobile upload. |
No information available | |
|
Mobile Notifications Customization User management of which events trigger mobile alerts. |
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.