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Broadridge Regulatory Reporting Solutions for Treasury from Broadridge Financial Solutions
Automates global and local regulatory reporting, EMIR, MiFIR, SFTR and more, with comprehensive data validation, exception management, and audit-ready reporting for treasury operations.
More about Broadridge Financial Solutions
Product analysis by function
Regulatory Reporting Solutions for Treasury Compliance
Platforms that automate the preparation and submission of reports required by financial regulators, such as EMIR, Dodd-Frank, and MiFID II.
More Regulatory Reporting Solutions
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Regulatory Coverage
(9 Yes /9 Known /11 Possible features)
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Supported Regulations List of regulations that can be automatically reported to (e.g., EMIR, Dodd-Frank, MiFID II, SFTR, MAS, ASIC). |
No information available | |
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Jurisdiction Flexibility Ability to add or modify supported jurisdictions and regulatory frameworks as requirements evolve. |
Broadridge product documentation discusses changing regulatory requirements in different regions, indicating jurisdiction flexibility. | |
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Customizable Report Templates Customizable templates for various regulatory reports. |
Marketing materials reference customizable report templates to meet different regulatory demands. | |
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Cross-jurisdictional Reporting Simultaneous reporting to multiple regulatory bodies across jurisdictions. |
Supports reporting across multiple global jurisdictions (see product description). | |
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Historical Regulation Support Ability to process and report legacy data for past regulatory periods. |
Ability to process and report legacy data for past regulatory periods is mentioned as part of audit-ready reporting. | |
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Automatic Regulation Updates Automatic updates in response to changes in regulatory requirements. |
Automatic regulation updates cited as part of Broadridge's value proposition. | |
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Regulator-specific Formatting Native support for specific file formats required by different regulators (e.g., XML, CSV, FIX). |
Regulator-specific file format support (XML, CSV, etc.) is standard and mentioned in technical documentation. | |
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Pre-validation Against Regulation System validates data compliance with applicable regulations before report submission. |
Comprehensive data validation prior to submission is specifically called out on the website. | |
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Multi-entity Support Can handle reporting for multiple legal entities within a corporate group. |
Documentation supports multi-entity reporting for global treasury operations. | |
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Dual-sided Reporting Supports both reporting parties (buyer/seller or submitter/counterparty for trades). |
Broadridge solution supports dual-sided reporting as required by regulations like EMIR/SFTR. | |
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Regulatory Guidance Integration Direct integration of current regulator interpretative guidance and FAQs. |
No information available |
Automation & Workflow
(9 Yes /9 Known /10 Possible features)
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Automated Data Aggregation Automatic aggregation of required data from multiple internal and external systems. |
Automated data aggregation is described as a core part of the automated workflow. | |
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Real-time Data Processing Processes data and prepares reports in real-time rather than batch or scheduled processing. |
Real-time data processing is referenced in several solution briefs. | |
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Workflow Customization Customizable approval and submission workflows. |
Workflow customization is cited in product's modular design and client testimonials. | |
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Exception Management Automated identification, alerting, and handling of exceptions in regulatory reporting processes. |
Exception management features are prominently mentioned (including automated alerting and handling). | |
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Scheduled Reporting Ability to schedule automated generation and submission of regulatory reports. |
Scheduled (and recurring) reporting is a standard automation feature. | |
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Manual Override Option for users to manually intervene in the workflow when required. |
Manual override (for corrections and resubmissions) is available, per solution overview. | |
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Dashboards Dashboards summarizing status, issues, and key metrics across workflows. |
Solution includes dashboards summarizing workflow status and exceptions. | |
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End-to-end Audit Trail Comprehensive tracking and logging of all steps in the reporting process. |
Comprehensive end-to-end audit trail is cited as a key differentiator. | |
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Workflow Step Count Number of automated steps available in workflows. |
No information available | |
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Auto-notifications & Alerts Automated notifications for workflow events (e.g., submission failures, due reports). |
Auto-notifications and alerts for workflow events are standard and referenced directly. |
Data Management
(7 Yes /7 Known /10 Possible features)
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Data Integration Connectors Out-of-the-box and/or customizable connectors to ERP, Treasury Management, trading, and settlement systems. |
No information available | |
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Data Validation Rules Predefined and user-configurable data validation rules to ensure data integrity and compliance. |
. | No information available |
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Data Enrichment Capabilities Ability to enrich collected data with regulatory-required fields and reference data (LEIs, UTI/USI generation). |
Data enrichment (e.g., generation of UTI, LEI, reference data) is provided for regulatory fields. | |
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Data Transformation Engine Engine for mapping, converting, and normalizing data from various sources/formats. |
Data transformation engine provided as part of data normalization required for reporting. | |
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Data Quality Monitoring Continuous monitoring and reporting of data quality metrics. |
Data quality monitoring and reporting are described in client case studies. | |
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Data File Size Support Maximum data file size accepted for reporting. |
. | No information available |
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Missing Data Alerts Automated alerts for missing or incomplete data elements required for reporting. |
Missing data alerts are part of the data validation and exception management workflow. | |
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Master Data Management Integration Integration with enterprise master/reference data management systems. |
Integration with master/reference data management is cited as a connectivity option. | |
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Data Retention Policy Configuration Ability to set retention periods for storing reported data in compliance with regulation. |
Data retention policy configuration to ensure regulatory compliance is referenced in documentation. | |
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Data Lineage Tracking Tracking origin, transformation, and movement of data used in reporting. |
Data lineage tracking (ability to trace data origins and transformations) is prominently mentioned. |
Connectivity & Integration
(6 Yes /6 Known /9 Possible features)
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Standard API Support REST, SOAP, or other industry-standard APIs for integration. |
REST API and other standard APIs supported for integration, per technical resources. | |
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Message Protocol Support Support for required reporting protocols (e.g., SWIFT, FIX, SFTP). |
Message protocol support (SWIFT, FIX, SFTP) explicitly mentioned. | |
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Third-party Repository Integration Out-of-the-box connectivity to trade repositories, ARMs, TRs, and national regulators. |
Integration with third-party repositories, ARMs, and regulators is a standard feature. | |
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Direct Regulator Gateway Integration Direct interface to regulatory submission portals and gateways. |
Direct regulator gateway integration is supported, as described for MiFIR/EMIR/SFTR. | |
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Integration Onboarding Speed Average time required to onboard and configure new integration. |
No information available | |
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Inbound/Outbound File Formats Supported Range of formats supported for data import/export (XML, CSV, JSON, Excel, etc.). |
No information available | |
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Real-time Integration Supports real-time, event-based data exchange in addition to batch. |
Supports real-time event-based integration as part of the solution architecture. | |
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Integration Monitoring Tools Dashboard or logs for monitoring the status of integrations. |
Integration monitoring tools are available, per technical support documentation. | |
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Custom Interface Configurability Ability for users to create and configure custom integrations without vendor intervention. |
No information available |
User Experience & Usability
(6 Yes /6 Known /9 Possible features)
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User-friendly Interface Modern, intuitive, and clean UI design. |
Broadridge emphasizes intuitive, user-friendly UI on website. | |
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Multi-language Support Interface localization into multiple languages. |
No information available | |
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Role-based Dashboards Customizable dashboards based on user roles and permissions. |
Role-based dashboards are available, per user management features. | |
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Quick Search Fast and easy searching of submitted, pending, or failed reports. |
Quick search of reports is specifically referenced in solution demo videos. | |
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Bulk Actions Ability to process and manage multiple transactions/reports at once. |
Bulk actions for multiple submissions/reports are standard in modern regulatory reporting systems. | |
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Contextual Help Integrated help, tutorials, and tooltips contextually within the application. |
Contextual help, tutorials, and tooltips are integrated (referenced in user documentation). | |
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Progress Indicators Visual indication of process/report status. |
Progress indicators are available. See UI screenshots. | |
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Mobile Device Compatibility Responsive or dedicated applications for mobile devices. |
No information available | |
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Accessibility Compliance Complies with relevant accessibility standards (e.g., WCAG). |
No information available |
Security & Compliance
(8 Yes /8 Known /9 Possible features)
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End-to-end Encryption Encryption of data in transit and at rest. |
End-to-end encryption is explicitly stated for both data at rest and in transit. | |
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Role-based Access Control Access to features/data is controlled based on user roles and responsibilities. |
Role-based access control is part of the user entitlement system. | |
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Identity Management Integration Single sign-on and federated identity support (SAML, OIDC, etc.). |
Support for SSO and federated identity (SAML, OIDC) is mentioned in technical guides. | |
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Multi-factor Authentication Requires multi-factor authentication for access. |
Multi-factor authentication is offered as a security option. | |
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Audit Logging Comprehensive logs of user and system activity for auditing. |
Full audit logging as part of audit-ready reporting. | |
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Certification Standards Meets external certifications (ISO 27001, SOC 2, etc.). |
No information available | |
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Privacy Impact Assessment Tools Tools for regular privacy and GDPR/CCPA compliance assessments. |
Broadridge documentation covers privacy impact and GDPR/CCPA compliance assessment features. | |
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Breach Notification Mechanism Automated alerting and notification in the event of a security breach. |
Automated breach notification is described in the security and compliance documentation. | |
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Anonymization/Pseudonymization Supports data anonymization/pseudonymization methods as required. |
Data anonymization and pseudonymization methods referenced for data privacy. |
Transparency & Auditability
(8 Yes /8 Known /8 Possible features)
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Detailed Audit Trail Comprehensive records of all interactions, submissions, and data changes. |
Comprehensive detailed audit trail is a marketed feature. | |
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User Action Log Recording of user-initiated actions for traceability. |
User action logs are available as part of the system's audit capabilities. | |
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Read-only Audit Access External and internal auditors can be granted access to view records without the ability to edit. |
Read-only audit access for auditors is referenced in support and compliance materials. | |
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Change History Versioning and tracking of changes to data and configurations. |
Change history/versioning is available in the system. | |
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Regulatory Submission Proof Full evidence/logs of regulatory submission (including timestamps, confirmations, and reference IDs). |
Regulatory submission proof (logs, timestamps, etc.) is provided for audit and regulator verification. | |
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Audit Export Options Exportable logs/audit records in various standard formats. |
Logs/audit records can be exported in various formats. | |
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Time-stamped Records All key events are accurately timestamped. |
Events and records are time-stamped as required for audit and compliance. | |
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Retention Policy Compliance Automatically enforces data retention and destruction policies as per regulation. |
Retention policy compliance is automated in accordance with regulatory rules. |
Performance & Scalability
(0 Yes /0 Known /7 Possible features)
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Report Generation Speed Average time to generate a standard regulatory report. |
. | No information available |
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Concurrent User Support Max number of users able to interact with the platform simultaneously. |
. | No information available |
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Report Capacity Maximum number of reports that can be generated/submitted per day. |
. | No information available |
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Data Volume Handled Maximum volume of transaction data processed per reporting cycle. |
. | No information available |
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Scaling Method Nature of scalability (horizontal, vertical, cloud auto-scaling, etc.). |
. | No information available |
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System Uptime SLA Guaranteed uptime of the regulatory reporting service. |
. | No information available |
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Latency Average end-to-end latency from report initiation to submission. |
. | No information available |
Monitoring & Reconciliation
(6 Yes /6 Known /7 Possible features)
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Automated Reconciliation Engine Automatic matching of internal records with regulator/TR receipts and confirmations. |
Automated reconciliation engine matches internal & regulator records; core feature for MiFIR/SFTR/EMIR. | |
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Exception Reporting Flagging and reporting of mismatches, rejected submissions, or errors. |
Exception reporting for rejected, mismatched, or erroneous submissions is described. | |
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Discrepancy Resolution Workflow Guided workflow to resolve and remediate reconciliation breaks. |
Workflow to resolve reconciliation discrepancies is supported. | |
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Real-time Status Monitoring Visual indicators of submission status and completion. |
Real-time monitoring of submission status with visual indicators is included. | |
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Automated Notification of Failures Automated alerts for failed or delayed submissions. |
Automated alerts for failed or delayed submissions. | |
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Report Re-submission Ability to quickly edit and resubmit failed or amended reports. |
Ability to quickly edit/resubmit failed reports is a standard feature. | |
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Reconciliation Frequency Frequency with which reconciliation is performed. |
. | No information available |
Support & Vendor Services
(6 Yes /6 Known /9 Possible features)
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24/7 Support Availability Round-the-clock access to support staff or helpdesk. |
Solution offers 24/7 support per Broadridge standard service contracts. | |
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Onboarding and Training Structured onboarding and ongoing training offerings for users. |
Onboarding and ongoing user training are standard services. | |
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Knowledge Base/Documentation Comprehensive, regularly updated user documentation. |
Comprehensive, regularly updated documentation/knowledge base is provided. | |
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Customer Success Manager Dedicated account/service manager assigned. |
Client support includes assigned customer success managers. | |
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Incident Response Time Average time to respond to critical incidents. |
. | No information available |
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User Community/Forums Access to user communities for knowledge sharing and peer support. |
User communities/forums available for Broadridge solution users. | |
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Customization Services Availability of expert services to tailor the solution. |
Broadridge offers solution customization services. | |
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Release/Upgrade Frequency How often new features or updates are made available. |
. | No information available |
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Client Base Size Number of organizations currently using the vendor's solution. |
. | No information available |
Reporting & Analytics
(6 Yes /6 Known /8 Possible features)
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Custom Report Builder Tool to design and create custom analytical reports. |
Custom report builder is cited in analytics tools. | |
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Standard Library of Regulatory Reports Out-of-the-box analytical reports for common regulatory and operational needs. |
. | No information available |
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Trend Analysis Tools Visualization and analysis of historical and real-time reporting trends. |
Trend analysis tools for visualizing historical/real-time regulatory reporting performance. | |
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Export/Download Analytics Ability to export analytical data for further offline analysis. |
Analytical data can be exported for offline analysis. | |
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Ad hoc Query Tools Powerful query and filter capabilities for investigating specific issues/events. |
Ad hoc query tools are present for deep investigation into specific issues. | |
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Data Visualization Widgets Visual dashboards and charts for submitting, pending, or failing items. |
Data visualization widgets included in UI for real-time monitoring. | |
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KPI Measurement Tools to measure user-defined KPIs related to reporting efficiency and accuracy. |
KPI measurement dashboard tools included for compliance and operational efficiency. | |
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Regulatory Breach Analytics Analysis and reporting on events where regulations were breached. |
. | No information available |
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