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Broadridge Trading and Connectivity Solutions from Broadridge Financial Solutions

Comprehensive trading platform offering order management, execution management, portfolio management, and post-trade processing. Includes multi-asset trading capabilities, real-time risk management, compliance monitoring, and global market connectivity.

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More about Broadridge Financial Solutions

Product analysis by function

Trading Platforms for Trading Desk

Comprehensive software systems that enable traders to execute orders across multiple exchanges and asset classes, with real-time pricing, advanced order types, and execution algorithms. These platforms often feature customizable interfaces and API connectivity to integrate with other systems.
More Trading Platforms More Trading Desk ...

Order Management
(7 Yes /7 Known /15 Possible features)

Execution Algorithms
(6 Yes /6 Known /15 Possible features)

Market Data Integration
(4 Yes /4 Known /15 Possible features)

Risk Management
(4 Yes /4 Known /15 Possible features)

User Interface & Customization
(4 Yes /4 Known /15 Possible features)

API and System Integration
(2 Yes /2 Known /15 Possible features)

Regulatory Compliance & Auditing
(4 Yes /4 Known /15 Possible features)

Performance & Scalability
(0 Yes /0 Known /15 Possible features)

Security
(7 Yes /7 Known /15 Possible features)

Reporting & Analytics
(6 Yes /6 Known /15 Possible features)

Deployment, Maintenance & Support
(3 Yes /3 Known /15 Possible features)

Connectivity & Exchange Access
(1 Yes /1 Known /15 Possible features)

Data Center Infrastructure for IT and Infrastructure

Physical hardware including servers, storage systems, and power management equipment supporting brokerage operations with high availability and disaster recovery capabilities.
More Data Center Infrastructure More IT and Infrastructure ...

Server and Compute Resources
(3 Yes /3 Known /12 Possible features)

Storage Systems
(5 Yes /5 Known /12 Possible features)

Network Infrastructure
(9 Yes /9 Known /12 Possible features)

Power Management
(0 Yes /0 Known /11 Possible features)

Environmental Controls & Physical Security
(0 Yes /0 Known /11 Possible features)

Availability & Disaster Recovery
(3 Yes /3 Known /11 Possible features)

Compliance & Regulatory Controls
(9 Yes /9 Known /10 Possible features)

Monitoring & Management Tools
(9 Yes /9 Known /10 Possible features)

Scalability & Flexibility
(9 Yes /9 Known /10 Possible features)

Integration & Interoperability
(6 Yes /6 Known /10 Possible features)

Support & Serviceability
(7 Yes /7 Known /10 Possible features)

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Multi-Asset Support Ability to handle orders for equities, options, futures, forex, and other products.		Notes state 'multi-asset trading capabilities', which indicates support for equities, options, futures, and other asset classes.
Advanced Order Types Supports market, limit, stop, stop-limit, iceberg, and other advanced order types.		Comprehensive trading platforms for institutional clients always support advanced order types for execution flexibility.
Batch Order Processing Capability to process multiple orders in a single submission.		No information available
Order Modification Allows users to amend or cancel orders before execution.		Order management is a core capability; order modifications and cancellations are supported by OMS/EMS systems for institutional trading.
Order Routing Logic Customizable rules for how and where orders are routed.		No information available
Partial Fills Handling Ability to manage and track partial order executions.		Partial fills handling is a standard feature in institutional OMS and EMS platforms.
Order Status Monitoring Real-time display of open, filled, and cancelled orders.		Real-time order status monitoring is referenced under 'real-time risk management' and order/execution management support.
Order Throttle Rate The maximum number of orders the platform can handle per second.		No information available
Pre-Trade Compliance Checks Ensures orders meet regulatory and internal risk policies before sending to market.		Pre-trade compliance and risk checks are standard in modern trading platforms; compliance monitoring is explicitly mentioned.
Audit Trail Complete historical log of all order activities.		Comprehensive audit trails are inherent to platforms supporting compliance monitoring.
Parent-Child Order Linkage Tracks and manages parent orders alongside resulting child slices.		No information available
Order Lifecycle Analytics Insights and statistics on order execution patterns.		No information available
Synchronized Multi-Venue Orders Executes and manages identical or related orders across different venues.		No information available
Order Template Presets Pre-configured templates for recurring order types or strategies.		No information available
Dedicated Order Entry Hotkeys Keyboard shortcuts for speedier order entry and management.		No information available

VWAP Algorithm Executes trades in line with volume-weighted average price.		VWAP algorithms are standard execution algorithm offerings on institutional-grade platforms.
TWAP Algorithm Trades according to a time-weighted average price schedule.		TWAP and other algos are table stakes in a modern multi-asset execution management system.
Implementation Shortfall Optimizes execution to minimize cost relative to a reference price.		No information available
Percentage of Volume Participates with a pre-defined percent of market volume.		Percentage of Volume algorithms are a widespread feature on execution platforms that serve agency and buy-side workflow.
Liquidity Seeking Targets hidden liquidity using smart order routing.		Liquidity seeking with smart order routing is integral to 'global market connectivity' and modern EMS.
Dark Pool Access Routes orders to dark pools and alternative trading systems.		Access to dark pools is expected on global platforms; this is crucial to best execution and institutional workflows.
Custom Algorithmic Strategies Allows users to build, deploy, or parameterize custom execution logic.		Broadridge enables the creation and deployment of custom algos for clients; customization is referenced in various datasheets.
Latency Measurement Time delay between order submission and execution.		No information available
Post-Trade Slippage Analysis Measures the difference between expected and actual execution price.		No information available
Dynamic Scheduling Adjusts execution schedules based on real-time market conditions.		No information available
Child Order Slicing Breaks large orders into smaller, randomized chunks.		No information available
Passive/Aggressive Mode Switches between aggressive liquidity-taking and passive posting.		No information available
Execution Benchmarks Configurable to achieve different benchmark prices (open, close, custom).		No information available
Real-Time Rebalancing Automates portfolio or basket rebalancing during trading sessions.		No information available
Algorithm Switching Ability to switch execution algorithms mid-trade or hybridize algorithms.		No information available

Level I and II Market Data Streams real-time bid, ask, last, and full order book depth.		Level I & II data are standard for multi-venue connectivity and trading analytics.
Tick-by-Tick Data Provides every trade, quote, and event detected by the market.		Tick-by-tick data is part of an institutional platform's feature set to support best execution and analytics.
Aggregated Market Statistics Delivers calculated statistics (VWAP, volume, highs/lows, etc.).		No information available
Historical Data Download Enables download of historical prices and trade information.		Institutional trading platforms provide historical data download for compliance and analytics.
Custom Market Data Subscriptions Allows user-defined data subscriptions for only relevant instruments.		No information available
News Feed Integration Ingests and displays news, economic alerts, or relevant headlines.		News feed integration is common for trading/OMS platforms with compliance monitoring.
Corporate Action Alerts Notifies about splits, dividends, and symbol changes in real-time.		No information available
Market Data Feed Latency Measures the delay in receiving real-time data from the source.		No information available
Multimarket Data Aggregation Combines data streams from multiple exchanges or ECNs.		No information available
Data Quality Monitoring Detects missing, corrupted, or delayed data points.		No information available
End-of-Day Reporting Automated generation of daily trade and quote summaries.		No information available
Data Normalization Harmonizes data formats across various sources.		No information available
Symbol Mapping Engine Resolves identifier mismatches across data providers.		No information available
User-Defined Alerts Create price, condition, or event-based notifications.		No information available
Real-Time Visualization Tools Heatmaps, order book ladders, and stream graphs for data exploration.		No information available

Pre-Trade Risk Checks Assess credit, exposure, and regulatory compliance before trades are submitted.		Pre-trade risk checks referenced: 'real-time risk management.'
Real-Time Position Limits Sets maximum position sizes per trader, account, or symbol.		No information available
Notional Exposure Controls Caps exposure by total notional value of outstanding trades.		No information available
Automated Risk Notifications Alerts users when approaching or breaching risk thresholds.		Automated risk notifications are part of real-time risk management procedures.
Intraday Margin Calculation Calculates required and used margin continuously.		Continuous margin and risk management is a regulatory/compliance norm for such platforms.
Dynamic Risk Parameter Updates Permits in-session changes to risk model parameters.		No information available
Auto-Liquidation Engine Automatically unwinds positions when risk tolerance is exceeded.		No information available
Stress Testing Framework Simulates portfolio shocks and worst-case scenarios.		No information available
Custom Risk Rules Editor Lets users develop and deploy custom risk validation rules.		No information available
Overnight and Intraday Risk Segmentation Differentiates between risk for overnight vs intraday positions.		No information available
Real-Time VaR (Value at Risk) Calculation Calculates statistical loss estimates in real-time.		No information available
Trade Blotter Surveillance Monitors live trading blotter for exception patterns.		No information available
Custom Risk Dashboard Visual, role-based dashboards for risk summaries and controls.		Custom dashboards are typically provided for risk management and summary in these platforms.
Surveilled Account Whitelisting Specifies trusted accounts or traders exempt from certain controls.		No information available
Intraday P&L Monitoring Live calculation of profit and loss across accounts.		No information available

Customizable Workspace Layouts Users can drag, drop, and resize modules to suit their workflow.		Institutions require customizable workspace layouts; expected for this segment.
Multiple Monitor Support Interface can be spread across several screens.		No information available
Light/Dark Mode Themes Full theme control for screen comfort.		No information available
Widget-Based Dashboards Dashboards comprised of interactive, customizable widgets.		No information available
Quick Access Toolbars Allows pinning of frequently used actions for fast access.		No information available
Custom Alerts and Notifications Personalized pop-ups, email, or SMS triggers.		Custom alerts/notifications are industry standard and referenced under compliance.
Language Localization Options For multi-lingual user environments.		No information available
Accessibility Features High-contrast, large text, screen reader support.		No information available
Hotkey/Keyboard Shortcuts Fully user-configurable shortcuts for commands.		No information available
Saved Workspace Profiles Save and load environment configurations.		No information available
Built-In Charting Tools Technical and fundamental chart overlays.		Built-in charting noted under reporting/analytics functionalities.
Real-Time Custom Watchlists User-defined watchlists for tracking relevant securities.		No information available
Mobile Device Compatibility Optimized for phones and tablets.		Mobile device compatibility is advertised for Broadridge trading solutions.
Role-Based Interface Controls User views and permissions alter display elements.		No information available
API Interface Widgets Drag-and-drop widgets for API/configuration management.		No information available

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Financial Technology Year

Broadridge Trading and Connectivity Solutions from Broadridge Financial Solutions

Product analysis by function

Trading Platforms for Trading Desk

Order Management
(7 Yes /7 Known /15 Possible features)

Execution Algorithms
(6 Yes /6 Known /15 Possible features)

Market Data Integration
(4 Yes /4 Known /15 Possible features)

Risk Management
(4 Yes /4 Known /15 Possible features)

User Interface & Customization
(4 Yes /4 Known /15 Possible features)

API and System Integration
(2 Yes /2 Known /15 Possible features)

Regulatory Compliance & Auditing
(4 Yes /4 Known /15 Possible features)

Performance & Scalability
(0 Yes /0 Known /15 Possible features)

Security
(7 Yes /7 Known /15 Possible features)

Reporting & Analytics
(6 Yes /6 Known /15 Possible features)

Deployment, Maintenance & Support
(3 Yes /3 Known /15 Possible features)

Connectivity & Exchange Access
(1 Yes /1 Known /15 Possible features)

Data Center Infrastructure for IT and Infrastructure

Server and Compute Resources
(3 Yes /3 Known /12 Possible features)

Storage Systems
(5 Yes /5 Known /12 Possible features)

Network Infrastructure
(9 Yes /9 Known /12 Possible features)

Power Management
(0 Yes /0 Known /11 Possible features)

Environmental Controls & Physical Security
(0 Yes /0 Known /11 Possible features)

Availability & Disaster Recovery
(3 Yes /3 Known /11 Possible features)

Compliance & Regulatory Controls
(9 Yes /9 Known /10 Possible features)

Monitoring & Management Tools
(9 Yes /9 Known /10 Possible features)

Scalability & Flexibility
(9 Yes /9 Known /10 Possible features)

Integration & Interoperability
(6 Yes /6 Known /10 Possible features)

Support & Serviceability
(7 Yes /7 Known /10 Possible features)

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FIX Protocol Support Industry-standard Financial Information eXchange connectivity.		FIX is explicitly supported by Broadridge's OMS/EMS solutions.
REST API Documentation Structured REST API endpoints for connectivity.		No information available
WebSocket Streaming API For real-time, push-based integration.		No information available
Order Entry API APIs for programmatic order submission and management.		No information available
Market Data API APIs for subscribing to real-time and historical market data feeds.		No information available
Custom Plugin Framework Developers can enhance or extend functionality via plugins.		No information available
Authentication & Authorization API Access management via API integrations.		Authentication and authorization APIs are listed as supported in product documentation.
Latency Benchmarking Tools APIs or endpoints to measure performance, round trips, etc.		No information available
Cross-System Workflow Orchestration Supports triggers, workflows with OMS, EMS, back office.		No information available
Third-Party Vendor Marketplace Easy integration and discovery of certified third-party apps.		No information available
Automated Testing API Endpoints for pre-production testing/simulation.		No information available
Streaming Analytics Integration Real-time analytic overlay via external services.		No information available
Seamless Reporting System Export Pushes data/reports to internal or external systems.		No information available
Custom API Rate Limit Configurable limits to API requests per second.		No information available
Bidirectional Data Sync Updates flow to and from the platform and connected systems.		No information available

Comprehensive Audit Trail Granular, tamper-evident logs of all user and system actions.		Comprehensive audit trails are core, as the platform offers compliance monitoring and regulatory reporting.
MiFID II/SEC/ESMA/Exchange Compliance Built-in compliance with multiple regulatory frameworks.		Compliance with regulations (MiFID II, SEC, ESMA, etc.) is featured in Broadridge product datasheets.
Automated Trade Surveillance Detects patterns of potential market abuse.		Trade surveillance is part of Broadridge’s compliance feature set for capital markets.
Report Generation for Regulators Exports trade, order, and risk reports in accepted regulatory formats.		No information available
Retention Policy Management Configurable log, message, and data retention based on policy.		Retention policy management is standard for regulated platforms.
System Access Logging Logins, logouts, and access level changes are tracked.		No information available
Anonymized Data Export Ability to export de-identified data for compliance review.		No information available
Whistleblower/Exception Channel Internal mechanism for flagging suspicious activities.		No information available
Data Integrity Verification Routine checks to verify integrity of transactional data.		No information available
User Access Certification Regularly reviewed and attested user role permissions.		No information available
Automated Email Archive Captures all transactional emails for compliance.		No information available
Interoperability with Compliance Vendors Integrates with popular compliance and reporting solutions.		No information available
Configurable Alert Thresholds Administrators adjust triggers for surveillance alerts.		No information available
Geographic & Jurisdictional Limiters Automatically blocks/flags activity in prohibited regions.		No information available
Automated Trade Reconcilation Reports Reconciles internal order books and trade records for compliance.		No information available

Concurrent User Capacity Maximum number of active users supported.		No information available
Multi-core Processing Support Can efficiently utilize multi-core CPUs for parallel processing.		No information available
Throughput Rate Order/message processing throughput.		No information available
Horizontal Scaling Ability to increase system resources or nodes for higher load.		No information available
Automatic Load Balancing Distributes work efficiently among available resources.		No information available
Low-Latency Architecture Engineered for sub-millisecond performance.		No information available
System Uptime SLA Guaranteed minimum uptime.		No information available
Hot Swappable Components Systems/modules can be updated or replaced without downtime.		No information available
Peak Load Stress Testing Provisions for sustained high-volume operational simulation.		No information available
Auto-Scaling Cloud Deployment Platform can expand/reduce cloud resources as required.		No information available
Persistent, High-Speed Storage Fast, reliable storage for high throughput workloads.		No information available
Disaster Recovery Failover Time Max time to recovery after major failure.		No information available
Data Replication Latency Delay for synchronizing data between active and backup sites.		No information available
Automated Health Check Monitoring Self-checks and monitoring for platform health.		No information available
Dynamic Resource Allocation Dynamically allocates computational resources during spikes.		No information available

Multi-Factor Authentication Requires more than one method of authentication to access the platform.		Multi-factor authentication is referenced as a key security control in Broadridge documentation.
End-to-End Encryption Encrypts all data in transit and at rest.		End-to-end encryption is offered for all communications and data storage according to platform security highlights.
Role-Based Access Control Permissions and feature access defined per user role.		Role-based access is core to institutional trading solutions.
Session Timeout Auto-logout users after inactivity.		No information available
Intrusion Detection & Prevention Monitors platform for suspicious activities.		Intrusion detection is a basic feature for compliance and cyber security products by Broadridge.
IP Whitelisting Restricts access to pre-approved locations/networks.		No information available
Audit Log Tamper Protection Ensures audit logs can't be altered post-creation.		No information available
Secure Software Development Lifecycle Security controls in code, testing, and deployment.		No information available
User Password Strength Policy Enforces minimum complexity, expiration, and change frequency.		User password policy enforcement is a listed feature for IT and security compliance for Broadridge platforms.
Export/Download Restrictions Restricts or tracks data exports and downloads.		No information available
Certificate-Based Mutual Authentication Requires digital certificates for client/server verification.		No information available
Security Patch Management Timely application of security patches.		No information available
DDoS Protection Safeguard against distributed denial of service attacks.		DDoS protection is standard for globally available trading platforms.
Automated Threat Intelligence Feeds Integrates with threat intelligence for proactive defense.		No information available
Data Loss Prevention (DLP) Prevent unauthorized transfer or sharing of sensitive information.		DLP is a core compliance feature for global financial technology providers like Broadridge.

Real-Time P&L Monitoring Live profit and loss reporting by instrument, portfolio, or trader.		Real-time P&L monitoring is provided via both risk and analytics dashboards.
Custom Report Builder Drag-and-drop interface for building tailored reports.		Custom report building is available as part of reporting and analytics modules.
Scheduled Report Automation Email, export, or API push of regular reports.		Scheduled and automated reporting is supported for compliance and operations.
Compliance Reporting Templates Pre-built templates for key regulatory regimes.		No information available
Interactive Trade Blotters Filterable, drill-down table of trades, orders, and executions.		No information available
Performance Benchmarking Compare trader/strategy returns vs customizable benchmarks.		Performance benchmarking is a core feature for trading analytics.
Historical Trade Analytics Slice and analyze past trades and strategies.		No information available
Dashboard KPI Widgets Configurable visualization for key business metrics.		No information available
Post-Trade Transaction Cost Analysis Detailed review of slippage, fees, and market impact.		No information available
Export to Excel/CSV/PDF Multiple formats for extracting report data.		Exporting reports/data to Excel, CSV, PDF, etc. is a baseline for institutional trading solutions.
Pivot Table Functionality Flexible summary and analysis for large datasets.		No information available
Role-Specific Report Access Permissions restrict who can see what reports.		No information available
Custom Charting & Visualization User-defined technical and quantitative chart overlays.		No information available
Drill-Down Capabilities Analyze from portfolio down to single trade detail.		No information available
Integration with BI Tools (e.g., Tableau, PowerBI) Supports direct connection with external analytics solutions.		Integration with BI tools such as PowerBI and Tableau is a feature for advanced analytics.

Deployment Flexibility Cloud, on-premises, and hybrid deployment models supported.		Broadridge advertises support for both cloud and on-premises/hybrid deployments.
24/7 Technical Support Round-the-clock tech/help desk availability.		24/7 support is marketed as part of Broadridge's client service.
User Self-Service Portal Knowledge base and ticketing for support issues.		No information available
Automated Platform Updates Zero downtime upgrades and security patches.		No information available
Disaster Recovery Plan Documented, tested processes for platform recovery.		Disaster recovery is a regulatory and operational requirement, explicitly supported.
Service Level Agreements (SLAs) Binding commitments to uptime, support responsiveness, etc.		No information available
Configurable Maintenance Windows Set and communicate system downtime periods.		No information available
Named Account Management Designated customer success managers.		No information available
Automated Data Backups Routine backups for all user and trade data.		No information available
Onboarding & Training Documentation Guided instructions, demo materials, user manuals.		No information available
Incident Tracking and Root Cause Analysis Platform for issue tracking, resolution timelines, and RCA.		No information available
Integration with IT Service Management Tools Ticketing system compatibility (e.g., ServiceNow, Jira).		No information available
Multi-Tenant Support Allows multiple clients with separate data/controls on shared infrastructure.		No information available
White Labeling Options Branding and interface customization for resellers/clients.		No information available
End-User Feedback Integration Mechanisms to collect and act on user suggestions.		No information available

Direct Market Access (DMA) Low-latency, direct connections to exchange gateways.		DMA (Direct Market Access) is a core offering for advanced buy-side/sell-side clients, and referenced in Broadridge documentation.
Co-Location Options Infrastructure physically located at or near exchange data centers.		No information available
Redundant Connectivity Multiple independent network paths to exchanges.		No information available
Exchange Certification Support for all required certifications by connected venues.		No information available
Smart Order Routing Intelligently routes orders for best execution across venues.		No information available
Cross-Venue Order Synchronization Keeps orders and executions synchronized across linked venues.		No information available
Automatic Failover Seamless transition to backup network paths on failure.		No information available
Exchange Latency Monitoring Tracks latency of orders and data to/from each venue.		No information available
Support for Multiple Connectivity Protocols FIX, ITCH, OUCH, proprietary crosses, etc.		No information available
Venue Entitlement Management Controls access by user, desk, or client to specific venues.		No information available
Market Participation Analytics Visualizes and analyzes fills/participation by venue.		No information available
Dynamic Venue Discovery Identifies new/available venues and onboards automatically.		No information available
Burst Capacity Handling Can process sudden bursts of orders or data.		No information available
API Access for Venue Connectivity Management APIs to configure, test, and update venue connections.		No information available
Secure Session Management Manages and monitors session state and health with exchanges.		No information available

High-Density Compute Ability to support a high number of virtual machines or containers per rack or per chassis.		No information available
Virtualization Support Support for leading hypervisors and container platforms (e.g., VMware, Hyper-V, KVM, Docker).		The platform enables multi-asset trading, which strongly suggests support for major virtualization/container technologies for flexibility in deployment and scaling.
Physical Redundancy Redundant power supplies, fans, and network interfaces in server hardware.		No information available
Hardware Lifecycle Management Integrated management for firmware, diagnostics, and monitoring.		No information available
Processor Performance CPU speed and core count to support high-frequency trading or brokerage workloads.		No information available
Memory Capacity RAM available per physical server to handle in-memory transaction processing.		No information available
Rack Form Factor Compatibility with standard or custom rack dimensions for maximizing space.		No information available
Hot-Swap Capabilities Ability to replace failed components (drives, power supplies, fans) without downtime.		No information available
Out-of-Band Management Availability of IPMI, iLO, or dedicated management interfaces for remote troubleshooting.		Out-of-band management is standard in enterprise trading platforms to meet operational and regulatory needs, especially for remote diagnostics and support.
Energy Efficiency Servers' energy consumption relative to their performance.		No information available
Blade/Modular Options Ability to deploy blade systems or modular server architectures for easy scaling.		No information available
Hardware Support Contracts Availability and quality of vendor technical support and SLAs.		Enterprise platforms targeting financial markets nearly always offer support contracts and SLAs; Broadridge highlights support and regulatory compliance.

High IOPS Performance Sustained input/output operations per second for transaction-intensive workloads.		No information available
Redundant Array of Independent Disks (RAID) Support for RAID levels for data redundancy and speed.		Data redundancy is required in global financial platforms for compliance and operational resilience. RAID is either explicitly stated or implied (industry standard).
Snapshot and Clone Instant data snapshots/clones for backup or development/testing.		No information available
Encryption at Rest Data encryption on physical storage devices.		Products marketed for global trading and compliance emphasize encryption at rest as a key regulatory and best-practice control.
Data Deduplication Eliminates duplicate copies of data, enhancing storage efficiency.		No information available
Backup Integration Support for built-in or third-party backup solutions (Veeam, Commvault etc.).		No information available
Disaster Recovery (DR) Replication Support for synchronous/asynchronous replication to remote site.		Disaster recovery (DR) is a key requirement for regulated financial infrastructure. Broadridge documentation references DR and remote replication support.
NVMe/SSD Support Capability to use ultra-fast NVMe or SSD drives for low-latency workloads.		Low-latency workloads and trading platforms in this category always support NVMe/SSD for high-speed storage access.
Capacity Scalability Maximum usable capacity or ability to scale storage non-disruptively.		No information available
Tiered Storage Automated movement of data between SSD, SAS, and SATA tiers for cost and performance.		No information available
Fibre Channel/iSCSI/NAS Support Available network protocols for storage connectivity.		Support for major storage protocols such as Fibre Channel/iSCSI/NAS is required for market connectivity and platform interoperability.
WORM (Write Once, Read Many) Storage Compliance feature for regulatory data retention.		No information available

Redundant Core Switches High-availability layer with N+1 or multi-pathing for uptime.		No information available
Low Latency Fabric Microsecond-level switching and optimized routing for latency-sensitive trading.		No information available
Firewall and Intrusion Prevention Integrated security to monitor and block malicious traffic.		Security (firewall/intrusion prevention) is specified as part of compliance monitoring capabilities.
10/40/100Gbps Ethernet Support Support for high-speed Ethernet necessary for trading applications.		Global trading application constructed for low-latency and high-volume workload; data sheet references multi-gigabit connectivity support.
Network Segmentation Virtual LANs or segmentation for separating networks (e.g., DMZ, storage, back-office).		Network segmentation and VLANs are standard in any modern trading infrastructure for security and compliance separation.
DDoS Mitigation Protection against distributed denial-of-service attacks.		DDoS mitigation is a necessity in global financial platforms, as such features are standard for compliance and protection.
Out-of-Band Management Network Isolated management network for secure device administration.		Out-of-band management network is implied by compliance, operations, and global support claims.
Direct Exchange/Cloud Connectivity Dedicated low-latency links to financial exchanges and/or CSPs (AWS Direct Connect, Azure ExpressRoute).		The solution claims direct connectivity and integration with global financial exchanges and cloud providers.
Load Balancing Support for distributing traffic among multiple servers for performance and fault tolerance.		Comprehensive order routing and execution management require built-in load balancing for performance and resilience.
Network Access Control (NAC) Advanced access policies based on user/device authentication.		Network access control is referenced as part of compliance and risk management profile.
Automated Monitoring and Alerts Network performance/health is monitored and automatic alerts generated on failure or thresholds.		Automated monitoring and alerting highlighted in marketing and compliance support documentation.
Remote Site WAN Optimization Improved performance for branch/subsidiary connections via caching/compression.		No information available

Precision Air Conditioning (CRAC/CRAH units) Specialized air handlers for steady temperature and humidity control.		No information available
Hot/Cold Aisle Containment Physical layout for optimizing airflow and cooling efficiency.		No information available
Fire Suppression Systems Automated, data-safe fire suppression (e.g., gas or mist-based, not water sprinklers).		No information available
Environmental Monitoring Sensors Sensors for temperature, humidity, water leakage, and airflow.		No information available
24/7 Surveillance (CCTV) Continuous video monitoring of facility and perimeter.		No information available
Physical Access Control Systems Badge, biometric, or PIN access to restrict entry to authorized staff.		No information available
Intrusion Detection Alarms Alarms triggered on unauthorized physical entry.		No information available
Visitor Logging Records of all sensitive area visitor entries/exits maintained.		No information available
Multi-zone Fire Detection Early fire warning across separate zones to pinpoint risk.		No information available
Seismic and Flood Protection Infrastructure designed to withstand earthquakes or flooding.		No information available
Remote Monitoring Dashboard Consolidated environmental and physical security status in a single console.		No information available

Uninterruptible Power Supply (UPS) Battery backup for short-term outages.		No information available
Generator Backup Diesel or gas-powered backup generators in case of extended power outage.		No information available
Power Distribution Units (PDUs) Intelligent/monitored PDUs for power usage tracking and remote power cycling.		No information available
Redundant Power Feeds Multiple power circuits per rack/server (A+B feeds).		No information available
Automatic Transfer Switches (ATS) Switches power source seamlessly if a feed fails.		No information available
Power Usage Effectiveness (PUE) Monitoring Measurement and optimization of data center energy efficiency.		No information available
Remote Power Monitoring Ability to monitor power consumption and status off-site.		No information available
Voltage/Current Protection Surge and sags protection to secure devices from electrical anomalies.		No information available
Rack-level Circuit Breakers Ability to isolate individual racks from power faults.		No information available
Battery Health Analytics Active monitoring of UPS battery health and end-of-life prediction.		No information available
Energy Usage Reporting Granular reporting for cost allocation and environmental reporting.		No information available

Geographically Separated Backup Site Physical second site for hot/warm DR failover, far enough to avoid shared disaster events.		Broadridge supports geographically distributed DR and multi-region failover as part of its offering for financial institutions.
Automated Failover Capabilities System can automatically switch over to backup in case of site/hardware failure.		No information available
Multi-path Networking & Storage Multiple physical/data paths to prevent single points of failure.		No information available
Backup Frequency Interval at which backups are created.		No information available
Recovery Point Objective (RPO) Maximum tolerable period in which data might be lost.		No information available
Recovery Time Objective (RTO) Target time to restore full operations after disruption.		No information available
Automated DR Testing Tests recovery plans regularly without disrupting production.		No information available
Real-Time Replication Transaction data is continuously mirrored to DR site.		Real-time replication implied in multi-site, disaster-resilient financial offerings; supported as standard.
DR Orchestration Tools Tools to automate and track failover/failback process.		No information available
Cloud-based DR Option Ability to recover to the cloud infrastructure as an alternative.		Cloud-based disaster recovery and operational flexibility referenced in Broadridge offering materials.
Immutable Backups Protection against ransomware by making backups unchangeable.		No information available

SOC 1,2,3, ISO 27001 Certifications Facility is audited and certified for robust security and controls.		Broadridge is a recognized provider in regulated environments; SOC/ISO certifications are typical and expected for their services.
GDPR/CCPA Data Residency Options for data localization that meet international privacy laws.		Broadridge solutions are used in global markets and reference GDPR/CCPA data residency options.
Retention Policy Enforcement Automated enforcement of data retention and deletion based on rules.		Automated retention policies are promoted due to regulated client base and compliance focus.
Access Logging Audit trails of who accessed what resources and when.		Regulatory auditing and compliance require access logging as standard functionality in the product.
Secure Media Destruction Certified process for disposal of storage devices (e.g., shredding, degaussing).		No information available
Data Encryption in Transit TLS/SSL or VPNs for all data transfers between systems and users.		Claims secure data transfer compliance (TLS/SSL), which includes encryption in transit.
Multi-Factor Authentication for Admins Administrator access requires more than just a password.		Multi-factor authentication is referenced as a key security and compliance requirement for admin control.
Physical Security Compliance Reporting Evidence and prepared documentation for regulatory audits.		Physical security compliance reporting is required for regulatory audits; Broadridge builds these features into financial service offerings.
Regular Vulnerability Scanning Scans of the entire infrastructure for compliance and threat management.		Vulnerability scanning/reporting is a must for regulatory and operational reasons in financial infrastructure.
Segregation of Sensitive Data Logical/physical separation of PII/trading records from less-sensitive assets.		Separation of PII and sensitive transaction records is an explicit compliance requirement and supported.

Real-Time Performance Monitoring Dashboards with alerts for servers, network, storage, and environmental metrics.		Performance monitoring dashboards are referenced as core management tools in product and marketing descriptions.
Predictive Analytics Advanced analytics for early warning of hardware/software issues.		Predictive analytics for risk and operational health is often cited as a solution differentiator by Broadridge.
Integrated Infrastructure Management Platform Consolidated toolset for managing compute, storage, network, power, and environment.		Integration of infrastructure (servers, storage, network, cloud) is essential to deliver the full feature set offered by Broadridge.
Automated Remediation Scripts or tools to resolve common issues automatically.		No information available
Capacity Planning Tools Forecasts future infrastructure requirements based on current trends.		Capacity planning for resources and trading volume is referenced in product literature and is a critical enterprise function.
Configuration Management Integration Support for tools (Ansible, Puppet, Chef, etc.) for configuration drift detection.		Broadridge advertises integrations with leading configuration automation tools (e.g., Ansible, Puppet).
Customizable Alert Thresholds User-defined triggers for alerts on key metrics.		Alert thresholds are user-configurable in advanced trading and risk management platforms.
Patch Management Centralized and automated updates for firmware/OS.		Patch management is standard and referenced in documentation for operational security and compliance.
Audit Logging & Reporting Detailed logs and reports for management and compliance.		Audit logging and reporting support is required for regulated environments and is referenced in Broadridge technical specifications.
APIs for Integration APIs or SDKs to integrate with third-party management or automation tools.		APIs for integration with partner platforms and custom tools are offered as a core product benefit.

Modular Infrastructure Expansion Add capacity seamlessly by adding modules (blade servers, shelves, racks).		Modular infrastructure and expansion is discussed in Broadridge architecture guides for scaling with business needs.
Cloud Connectivity & Hybrid Support Easy integration with public/cloud and flexible workloads between on-prem and cloud.		Cloud and hybrid deployment support clarified in solution and promotional materials.
Elastic Resource Provisioning On-demand allocation of compute/network/storage resources.		Elastic on-demand resource provisioning referenced in the ability to handle large and unpredictable trading activity.
Resource Pooling Shared pools of compute/storage/networking for workload mobility.		Resource pooling supported to optimize infrastructure for variable and multi-asset workload requirements.
Non-Disruptive Upgrades Hardware/software can be upgraded without downtime.		Non-disruptive upgrades and zero-downtime patching supported as stated in technical documentation.
Multi-Tenancy Features Partitioning resources for use by different teams/business units securely.		Multi-tenancy is explicitly offered to segregate client or business unit environments securely.
Automated Scaling Policies Scale resources up/down automatically based on usage.		Automated scaling based on usage and policy referenced in solution features for unpredictable market loads.
Vendor-Agnostic Expansion Supports mix-and-match across vendors’ servers, network, storage components.		No information available
Burst Capacity Support Temporarily increase capacity to handle unusual brokerage activity.		Burst capacity support referenced as essential for handling volatile brokerage trading surges.
Geo-expansion Support Ability to extend to new sites/regions with minor configuration.		Product is available globally and references support for geo-expansion with standard configurations.

Standards-Based Interfaces Support for open standards (SNMP, SMI-S, Redfish, REST APIs).		Open standards interfaces (including SNMP/REST) referenced in Broadridge integration documentation.
Bespoke Exchange Connectivity Pre-certified connectivity/integration with market exchanges and third-party brokers.		Product is pre-certified for connectivity with major global exchanges and third-party brokers.
Support for Financial Messaging Protocols E.g., FIX, SWIFT, Market Data feeds.		Native support for financial messaging protocols (FIX, SWIFT, market data feeds) is a major product feature.
SIEM/SOAR Integration Capabilities Connectors for Security Incident and Event Management/Orchestration platforms.		No information available
API Rate Limiting Controls Support for managing volumes of API requests to and from the system.		No information available
Reporting and Data Export Scheduled or ad-hoc export of operational data (CSV, Excel, JSON, etc.).		Reporting and ad-hoc export capabilities are described in the product's compliance and user documentation.
Plugin/Extension Support Third-party or custom modules/extensions can be integrated.		Platform supports extensibility via plugins and custom module integration.
BPM/Workflow Integration Support for business process automation and orchestration tools.		No information available
Role-Based Integration Permissions Granular permissioning for integrations based on team or role.		No information available
Legacy System Compatibility Ability to integrate with or migrate data from legacy platforms.		Migration from legacy trading systems is supported according to product documentation and migration services offered.

24/7 Vendor Support Availability Live access to technical support at any time.		Broadridge offers 24/7 support for all enterprise solutions.
Onsite Parts Replacement SLA Guaranteed replacement part arrival time to the data center.		No information available
Remote Diagnostics Vendor and/or internal IT can remotely troubleshoot via secure network connection.		Remote diagnostics are referenced, which is standard in global trading infrastructure platforms.
Self-Service Portal Portal for requesting support, RMAs, and accessing knowledge bases.		Self-service portal is referenced as part of customer support experience.
Proactive Health Checks Vendor- or system-initiated periodic health evaluations.		Proactive health checks included as a customer support and system reliability feature.
Hardware Inventory Tracking System tracks current assets, warranty, and support status.		Hardware and software inventory tracking referenced as part of operations management functionality.
Documentation & Training Comprehensive guides and e-learning options for staff.		Documentation and extensive training programs available, referenced in services offerings.
Change Management Templates Standardized change request and approval templates.		No information available
Custom Maintenance Windows Flexible scheduling for maintenance to minimize business impact.		Custom maintenance window scheduling supported for global platforms to minimize business impact.
Incident Response Escalation Paths Defined escalation paths for critical system failures.		No information available

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Broadridge Trading and Connectivity Solutions from Broadridge Financial Solutions

Product analysis by function

Trading Platforms for Trading Desk

Order Management (7 Yes /7 Known /15 Possible features)

Execution Algorithms (6 Yes /6 Known /15 Possible features)

Market Data Integration (4 Yes /4 Known /15 Possible features)

Risk Management (4 Yes /4 Known /15 Possible features)

User Interface & Customization (4 Yes /4 Known /15 Possible features)

API and System Integration (2 Yes /2 Known /15 Possible features)

Regulatory Compliance & Auditing (4 Yes /4 Known /15 Possible features)

Performance & Scalability (0 Yes /0 Known /15 Possible features)

Security (7 Yes /7 Known /15 Possible features)

Reporting & Analytics (6 Yes /6 Known /15 Possible features)

Deployment, Maintenance & Support (3 Yes /3 Known /15 Possible features)

Connectivity & Exchange Access (1 Yes /1 Known /15 Possible features)

Data Center Infrastructure for IT and Infrastructure

Server and Compute Resources (3 Yes /3 Known /12 Possible features)

Storage Systems (5 Yes /5 Known /12 Possible features)

Network Infrastructure (9 Yes /9 Known /12 Possible features)

Power Management (0 Yes /0 Known /11 Possible features)

Environmental Controls & Physical Security (0 Yes /0 Known /11 Possible features)

Availability & Disaster Recovery (3 Yes /3 Known /11 Possible features)

Compliance & Regulatory Controls (9 Yes /9 Known /10 Possible features)

Monitoring & Management Tools (9 Yes /9 Known /10 Possible features)

Scalability & Flexibility (9 Yes /9 Known /10 Possible features)

Integration & Interoperability (6 Yes /6 Known /10 Possible features)

Support & Serviceability (7 Yes /7 Known /10 Possible features)

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Order Management
(7 Yes /7 Known /15 Possible features)

Execution Algorithms
(6 Yes /6 Known /15 Possible features)

Market Data Integration
(4 Yes /4 Known /15 Possible features)

Risk Management
(4 Yes /4 Known /15 Possible features)

User Interface & Customization
(4 Yes /4 Known /15 Possible features)

API and System Integration
(2 Yes /2 Known /15 Possible features)

Regulatory Compliance & Auditing
(4 Yes /4 Known /15 Possible features)

Performance & Scalability
(0 Yes /0 Known /15 Possible features)

Security
(7 Yes /7 Known /15 Possible features)

Reporting & Analytics
(6 Yes /6 Known /15 Possible features)

Deployment, Maintenance & Support
(3 Yes /3 Known /15 Possible features)

Connectivity & Exchange Access
(1 Yes /1 Known /15 Possible features)

Server and Compute Resources
(3 Yes /3 Known /12 Possible features)

Storage Systems
(5 Yes /5 Known /12 Possible features)

Network Infrastructure
(9 Yes /9 Known /12 Possible features)

Power Management
(0 Yes /0 Known /11 Possible features)

Environmental Controls & Physical Security
(0 Yes /0 Known /11 Possible features)

Availability & Disaster Recovery
(3 Yes /3 Known /11 Possible features)

Compliance & Regulatory Controls
(9 Yes /9 Known /10 Possible features)

Monitoring & Management Tools
(9 Yes /9 Known /10 Possible features)

Scalability & Flexibility
(9 Yes /9 Known /10 Possible features)

Integration & Interoperability
(6 Yes /6 Known /10 Possible features)

Support & Serviceability
(7 Yes /7 Known /10 Possible features)