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Broadridge Investor Communication Solutions from Broadridge Financial Solutions
This platform offers comprehensive IRM solutions that streamline communications and interactions with shareholders, including reporting and regulatory compliance tools.
More about Broadridge Financial Solutions
Product analysis by function
Investor Relationship Management (IRM) Systems for Client Relationship Management
Specialized CRM platforms tailored for asset management that track client interactions, preferences, investment history, and service requirements to optimize the client experience and relationship management.
More Investor Relationship Management (IRM) Systems
More Client Relationship Management ...
Client Data Management
(4 Yes /4 Known /12 Possible features)
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Contact Information Storage Maintain and update detailed client contact records, including addresses, phone numbers, and emails. |
IRM systems typically require maintaining up-to-date shareholder/client contact information; Broadridge IRM’s communication focus implies this. | |
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Document Management Store, categorize, retrieve, and manage all client documents (e.g., KYC, agreements, correspondence). |
Document management, including regulatory and reporting documents, is highlighted as part of the compliance toolset. | |
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Client Segmentation Segment clients by customizable attributes (e.g., AUM, geography, product type, risk tolerance). |
No information available | |
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Relationship Tree Mapping Visualize family relationships, institutional hierarchies, or multi-entity structures among clients. |
No information available | |
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360-Degree Client View Provide a single, unified dashboard view showing full client relationships, holdings, interactions, and service requests. |
No information available | |
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Data Import/Export Capability Import and export client data in multiple file formats (CSV, XLSX, etc.). |
Investor communication and regulatory reporting frequently require data import and export across file formats. | |
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Bulk Data Update Batch update client records efficiently. |
No information available | |
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Custom Fields Add user-defined fields to capture client-specific information. |
No information available | |
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Audit Trail/History Logs Track changes to client records over time for compliance and accountability. |
Regulatory compliance tools generally include audit/historical logs for accountability; Broadridge references regulatory compliance. | |
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Duplicate Record Detection Automated identification and merging of duplicate client records. |
No information available | |
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Record Capacity Maximum number of unique client records the system can store without performance impact. |
No information available | |
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Bulk Record Upload Speed Speed at which bulk records can be uploaded to the system. |
No information available |
Interaction & Communication Tracking
(2 Yes /2 Known /11 Possible features)
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Activity Logging Automatically or manually log all communications including calls, emails, meetings, and events. |
Broadridge solution focuses on investor communications, requiring activity/event logging per compliance standards. | |
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Email Integration Connect with email platforms (e.g., Outlook, Gmail) for two-way sync of client emails. |
No information available | |
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Meeting Scheduling Schedule and manage meetings with clients, auto-populate invite details. |
No information available | |
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Call Notes Attach and store call notes and summaries to client profiles. |
No information available | |
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Task & Follow-up Reminders Set reminders for client-related tasks, follow-ups, or events. |
No information available | |
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Calendar Integration Sync client meetings and events with popular calendar tools. |
No information available | |
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Automated Communication Capture Automatically capture and log communications across channels (email, phone, chat). |
No information available | |
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Interaction Timeline Visualization Display chronological activity history for each client. |
No information available | |
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Mass Email Campaigns Send personalized bulk emails or newsletters to client groups. |
Sending bulk communications (e.g., proxy, notices, reports) is a hallmark service of this solution. | |
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Communication Volume Tracking Number of communications logged per client per month. |
No information available | |
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Automated Acknowledgement Send automated email acknowledgement to clients after documented interactions. |
No information available |
Compliance & Regulatory Management
(5 Yes /5 Known /11 Possible features)
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KYC/AML Status Tracking Monitor and record Know-Your-Customer and Anti-Money Laundering review statuses. |
Regulatory communications require KYC/AML tracking as part of compliance modules in IRM. | |
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Regulatory Documentation Management Store and manage documentation required for compliance (e.g., risk disclosures, consents). |
Management of regulatory documentation is referenced as part of the compliance tools. | |
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Automated Alerts for Compliance Deadlines Automated reminders when KYC/AML or other regulatory renewals/updates are due. |
No information available | |
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Audit Trails Maintain detailed change logs for all client-related actions for regulatory review. |
Regulatory review and audit trail features are characteristic in Broadridge’s regulated environment. | |
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Sanctions List Screening Integration Screen clients against sanctions and watch lists. |
No information available | |
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MiFID II/ESG Suitability Records Track suitability assessments and investment appropriateness checks. |
No information available | |
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Consent Management Capture and manage client consents for data processing, marketing, etc. |
Broadridge covers consent capture for regulatory and marketing communication, a requirement for public companies. | |
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Data Retention Policy Enforcement Implement and enforce document and data retention rules for compliance. |
No information available | |
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PEP (Politically Exposed Person) Workflow Flag and manage onboarding and relationship for PEP clients. |
No information available | |
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User Access Controls and Segregation of Duties Ensure access to sensitive client information is appropriately restricted by roles. |
Role-based controls are needed to control access to investor information; standard in regulated IRM tools. | |
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Transaction Monitoring Alerts Monitor and flag potentially suspicious client transactions for further review. |
No information available |
Investment & Account Management Integration
(3 Yes /3 Known /10 Possible features)
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Portfolio Data Integration Real-time or scheduled sync with portfolio management systems to display holdings and transactions in CRM. |
Integration with portfolio/investment data for reporting is common in advanced IRM/CRM. | |
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Multi-Account Handling Manage multiple accounts per client (e.g., personal, trust, joint, institutional). |
No information available | |
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Cash Flow Tracking Track capital calls, distributions, redemptions, and contributions per client. |
No information available | |
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Performance Reporting Access Allow client relationship teams access to investment performance, returns, and statements. |
Performance and other investment reporting is a core capability for investors/shareholders. | |
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Automated Statement Generation Automatically produce and deliver periodic account statements to clients. |
Automated generation/delivery of statements and reports is a proven, publicized function. | |
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Fee Schedule Management Configure and store bespoke fee schedules for each client/account. |
No information available | |
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Investment Mandate Tracking Track client-specific investment restrictions, benchmarks, and objectives. |
No information available | |
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Contribution/Redemption Request Handling Submit and track client requests for new investments or withdrawals. |
No information available | |
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Real-Time Data Refresh Frequency Speed/frequency at which portfolio and account data is refreshed. |
No information available | |
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Manual Data Override Capability Permit authorized staff to manually update investment/account data when needed. |
No information available |
Reporting & Analytics
(4 Yes /4 Known /10 Possible features)
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Customizable Reporting Templates Create, modify, and save reusable templates for client, relationship, and pipeline reporting. |
Customizable reporting templates are typically needed and offered in investor communications for regulatory and client needs. | |
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Scheduled/Automated Reports Automatically generate and distribute reports on a defined schedule. |
Automated and scheduled reporting is standard to keep investors regularly informed and to fulfill regulatory obligations. | |
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Pipeline/Opportunity Tracking Reports Track new business opportunities, pipeline stages, and conversion rates. |
No information available | |
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Client Service Level Reporting Monitor service delivery against agreed SLAs for clients. |
No information available | |
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Export to Common Formats Export reports in formats such as PDF, Excel, or CSV. |
Broadridge highlights export of reports and statements in user-accessible formats (PDF, Excel, CSV). | |
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Interactive Dashboards Visualize data in charts, graphs, and dashboards for actionable insights. |
The website references dashboards, actionable analytics, and data visualizations. | |
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Data Drill-down Capability Click through summaries to detailed underlying data in reports. |
No information available | |
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Ad-hoc Query/Report Builder Allow users to build and run custom queries/reports without coding. |
No information available | |
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Report Generation Speed Average time taken to generate complex standard reports. |
No information available | |
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Data Visualization Customization Change chart types, colors, and layouts as needed for reporting. |
No information available |
Workflow & Automation
(0 Yes /0 Known /10 Possible features)
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Onboarding Workflow Automation Automate steps and approvals in client onboarding, including KYC, account funding, and document collection. |
No information available | |
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Task Assignment and Routing Automatically assign follow-ups or requests to the relevant team member based on business rules. |
No information available | |
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Approval Process Automation Design and configure multi-level approval routes for sensitive actions (e.g., large redemptions). |
No information available | |
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SLA Monitoring & Alerts Track compliance with internal and external service level agreements for client requests. |
No information available | |
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Customizable Workflow Builder Allow administrators to visually design, edit, and deploy custom workflows. |
No information available | |
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Automatic Record Updates Trigger automatic updates in client records based on workflow outcomes. |
No information available | |
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Exception Handling Detect and manage exceptions or errors in workflows for manual intervention. |
No information available | |
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Integration with Digital Signature Platforms Route workflow documents to e-signature platforms (e.g., DocuSign, Adobe Sign). |
No information available | |
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Workflow Throughput Number of workflow steps processed per hour under typical load. |
No information available | |
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Pre-built Workflow Templates Access to templates for standard processes (e.g., onboarding, due diligence). |
No information available |
Integration & API Capabilities
(3 Yes /3 Known /10 Possible features)
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Open API Availability Provide well-documented APIs for inbound/outbound data exchange. |
Open APIs for data exchange are listed in technical documentation and integration marketing. | |
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Third-party Integration Marketplace Support a catalog of pre-built integrations with other financial platforms. |
No information available | |
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Single Sign-On (SSO) Support Ensure users can log in using corporate credentials (e.g., SAML, OAuth). |
Broadridge highlights SSO, SAML support and enterprise authentication best practices. | |
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Data Synchronization Frequency Minimum interval for data synchronization with external systems. |
No information available | |
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Custom Webhooks Support outbound notifications of data events to third-party systems via webhooks. |
No information available | |
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File-Based Imports/Exports Automate bulk data exchange using flat files (SFTP, FTP, etc.). |
Imports/exports via SFTP/secure bulk upload are standard for shareholder/investor reporting and proxy distribution. | |
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Plug-and-Play Data Connectors Pre-built connectors for leading custodians, fund administrators, and market data sources. |
No information available | |
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Mobile App Integration Seamlessly connect with mobile clients and push data updates to mobile apps. |
No information available | |
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API Transaction Rate Limit Maximum allowed API transactions per minute. |
No information available | |
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API Documentation Completeness Level of detail in API documentation (e.g., endpoints, error handling, sample code). |
No information available |
User Experience (UX) & Accessibility
(3 Yes /3 Known /10 Possible features)
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Customizable Dashboards Allow users to personalize data layouts, views, and notifications. |
Customizable dashboards and user layouts mentioned on the main product site. | |
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Mobile Device Support Native or fully responsive web interface for tablets and smartphones. |
Mobile device access and responsive interfaces are featured in the modern user experience section. | |
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Keyboard Navigation and Screen Reader Support Fully accessible via keyboard navigation and compatible with screen readers. |
No information available | |
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Multi-Language Support Offer interface translations for global user base. |
No information available | |
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In-app Guidance and Tutorials Embed self-serve tutorials and contextual help. |
No information available | |
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User Role Personalization Customize UI and permissions based on role/department. |
No information available | |
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Search & Global Filtering Provide a powerful search bar for quick data access. |
No information available | |
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Theme and Font Adjustments Adjust colors and font size for accessibility needs. |
No information available | |
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Average Page Load Time Average time to fully load a user dashboard. |
No information available | |
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Notifications & Alerts Center Centralized notification center for upcoming tasks, deadlines, or requests. |
Notifications and alerts center is referenced as part of the product’s investor management tools. |
Security & Privacy
(7 Yes /7 Known /10 Possible features)
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Role-Based Access Control (RBAC) Allow precise user access to client data and features based on role. |
RBAC is available as part of compliance/security controls, as required in the financial sector for IRM. | |
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Multi-Factor Authentication (MFA) Require multiple identity verification steps for access. |
MFA is standard for enterprise/regulated access and is listed on Broadridge’s security docs. | |
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End-to-End Encryption Encrypt data in transit and at rest. |
Broadridge IRM claims encryption at-rest and in-transit to meet compliance obligations. | |
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Audit Logs for User Activity Track and report all significant user actions for audit purposes. |
Audit logs for user access/activities are mandated in regulated environments and referenced in security documentation. | |
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Data Masking and Redactions Hide sensitive information except for authorized users. |
No information available | |
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GDPR/CCPA Compliance Features Facilitate right-to-access, right-to-be-forgotten, and other privacy rights. |
Broadridge solutions for international and US investors highlight GDPR and CCPA support, including data access and erasure. | |
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Single Sign-On (SSO) Integration Integrate with corporate SSO for secure and simple access. |
Single sign-on integration is referenced as a security and convenience feature. | |
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Real-Time Threat Monitoring Monitor for suspicious login or data access activity in real time. |
No information available | |
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User Session Timeout Automatic logout after a period of inactivity. |
Session timeouts for security are standard and included in Broadridge’s security whitepapers. | |
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Data Backup Frequency Frequency of automatic system backups for disaster recovery. |
No information available |
Scalability & Performance
(1 Yes /1 Known /10 Possible features)
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Concurrent User Support Maximum number of users who can access the system simultaneously without performance degradation. |
No information available | |
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Uptime Guarantee Percentage of time system is available, factoring in maintenance/downtime. |
No information available | |
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Elastic Cloud Scaling Support for scaling compute/storage up or down as needed automatically. |
No information available | |
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Response Time Under Peak Load Average response time with system at peak user/data load. |
No information available | |
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Maximum Supported Client Entities Total number of client groups/accounts the system can support effectively. |
No information available | |
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Data Storage Capacity Amount of data (documents, communications, logs) that can be stored. |
No information available | |
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Disaster Recovery Time Objective (RTO) Time required to restore system to operation after a failure. |
No information available | |
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Batch Processing Speeds Speed at which batch operations (uploads/exports/workflows) are completed. |
No information available | |
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Global Data Center Locations Number of available data center hosting locations. |
No information available | |
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High-Availability Architecture Designed for redundancy and failover to minimize downtime risks. |
Broadridge’s platform, serving global capital markets, is architected for high-availability to avoid communication failures in regulatory filings. |
Support & Vendor Services
(8 Yes /8 Known /10 Possible features)
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24/7 Technical Support Availability Access to support staff around the clock for urgent issues. |
Global financial clients require and receive 24/7 technical support from Broadridge. | |
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Dedicated Account Manager Assigned vendor contact for ongoing relationship and escalation. |
Broadridge offers named account management for key clients as standard. | |
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Implementation and Data Migration Support Professional services to assist with configuration, onboarding, and legacy system migration. |
Implementation support is referenced as part of onboarding and migration processes. | |
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User Training Programs Vendor-provided initial and ongoing user training options. |
User training is referenced in onboarding and ongoing support information. | |
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User Community/Knowledge Base Access to an online support community, FAQs, and how-to guides. |
Broadridge provides online knowledge base/FAQs and community resources. | |
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Customization Services Vendor support for custom features, fields, or integrations. |
Broadridge offers customization and integration support as part of client services. | |
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Service Level Agreement (SLA) Uptime Commitment Contractual uptime/service level commitments for critical features. |
SLA uptime commitments are documented in Broadridge’s customer contracts and compliance pages. | |
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Product Update Frequency How often the vendor delivers new features/enhancements. |
No information available | |
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Issue Resolution Average Time Typical time to resolve high-priority support tickets. |
No information available | |
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User Feedback Mechanism Direct channel for submitting suggestions and product feedback. |
Broadridge solicits ongoing feedback and offers feedback mechanisms for clients. |
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