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Broadridge Investment Accounting from Broadridge Financial Solutions
Comprehensive fund accounting and investment management solution supporting portfolio management, trading, reconciliation, NAV calculation, financial reporting, and performance measurement across multiple asset classes and fund structures.
More about Broadridge Financial Solutions
Product analysis by function
Fund Accounting Systems for Operations
Solutions calculating NAV (Net Asset Value) and managing other accounting functions for investment funds and managed accounts.
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Core Accounting Functionality
(10 Yes /10 Known /10 Possible features)
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Multi-currency Support Ability to process transactions and maintain records in multiple currencies. |
Broadridge Investment Accounting advertises support for multi-currency processing as part of global fund administration. | |
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Real-time Position Keeping Maintains and updates fund positions in real-time as trades are processed. |
The product offers real-time portfolio management and valuation, implying real-time position keeping. | |
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Double-entry Bookkeeping Ensures accurate accounting through a double-entry ledger system. |
Double-entry bookkeeping is a standard requirement in investment accounting solutions. | |
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Automated NAV Calculation Automated computation of Net Asset Value for funds at scheduled intervals. |
Automated NAV calculation is a core feature listed in Broadridge's product description. | |
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Income and Expense Accruals Provides for the automatic accrual and recognition of income and expenses. |
Income and expense accrual features are included as standard in comprehensive fund accounting platforms such as Broadridge. | |
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Trade Matching and Settlement Supports matching of trades and manages settlement cycles. |
Trade matching and settlement features are included for reconciliation and front-to-back automation. | |
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Corporate Actions Processing Handles corporate actions like dividends, splits, and mergers, and posts them appropriately. |
Product supports processing of corporate actions, as described in product brochure and website. | |
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Tax Lot Accounting Manages cost basis at the lot level for tax compliance and reporting. |
Tax lot accounting support is mentioned under compliance and reporting features. | |
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Reconciliation Tools Automated tools to reconcile internal records with external statements (brokers, custodians, banks). |
Reconciliation tools are part of the product's standard workflow. | |
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Historical Data Storage Stores historical fund and transaction data for audit and reference. |
Historical data storage and audit trail are standard for compliance and recordkeeping. |
Product Coverage
(7 Yes /7 Known /7 Possible features)
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Equity Support Ability to account for listed and OTC equities. |
Broadridge supports listed and OTC equities as part of its multi-asset class coverage. | |
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Fixed Income Support Handles bonds, notes, and other fixed income instruments. |
Product documentation confirms support for fixed income instruments. | |
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Derivatives Support Manages derivatives, including futures, options, and swaps. |
Broadridge supports derivatives (futures, options, swaps) according to solution highlights. | |
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Mutual Funds & ETFs Handles holdings and transactions in open- and closed-end funds and exchange-traded funds. |
Mutual funds and ETFs are included in supported investments. | |
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Private Equity & Alternatives Supports accounting for alternative asset classes such as private equity, hedge funds, and real estate. |
Platform description references private equity, hedge funds and alternatives as supported. | |
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Forex Instruments Processes and accounts for spot and forward FX transactions. |
Forex and FX forwards/spot support is common in global investment accounting, indicated for Broadridge. | |
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Structured Products Support Ability to account for investment in structured notes or products. |
Structured products support is included as part of their broad asset class coverage. |
Reporting & Analytics
(8 Yes /8 Known /8 Possible features)
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Custom Report Generation Allows creation of custom financial and portfolio reports. |
Custom report generation is an advertised feature of Broadridge. | |
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Regulatory Reporting Support Pre-built templates and export tools for regulatory filings (e.g., Form N-PORT, AIFMD, Solvency II). |
Regulatory reporting templates are part of the solution’s compliance management tools. | |
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Drill-down Data Analysis Enables users to drill into data at transaction and portfolio levels. |
Drill-down data analysis is available in dashboards and reporting modules. | |
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Benchmark Comparison Tools Provides comparative analysis of portfolio performance versus benchmarks. |
Benchmark comparison and performance analytics are included in the platform. | |
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Dashboard Visualization Graphical dashboards for at-a-glance summaries of key data. |
Dashboard visualization is featured in marketing collateral and demos. | |
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Audit Trails Maintains comprehensive logs and audit trails of system activity and transactions. |
Audit trails are essential in financial services software and are standard for Broadridge. | |
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Export Options Exportable outputs to common formats such as CSV, Excel, PDF, and XML. |
Export options to Excel, CSV, and PDF are listed in report documentation. | |
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Scheduled Report Delivery Automated scheduling and emailing of reports to stakeholders. |
Scheduled report delivery/emailing is an advertised feature. |
Integration
(6 Yes /6 Known /7 Possible features)
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API Availability Provides APIs for secure data integration with external systems. |
APIs are provided for integration as noted on Broadridge’s web pages and solution briefs. | |
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FIX/Swift Support Ability to send/receive trades and settlement messages using FIX and SWIFT protocols. |
FIX and SWIFT connectivity is a standard for Broadridge’s institutional platforms. | |
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Straight Through Processing (STP) Supports automated data flow from trade capture through settlement. |
Straight-through processing (STP) is integral to Broadridge workflows. | |
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Data Import/Export Tools Bulk upload/download tools for transactions, prices, and reference data. |
Bulk data import/export tools are mentioned in integration feature sets. | |
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Reference Data Integration Connects and synchronizes with external security reference and pricing data feeds. |
Reference data integration with security master and pricing feeds is supported by Broadridge. | |
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Batch Processing Speed Time taken to process large transaction or data batches. |
No information available | |
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Reconciliation Feed Interfaces Interfaces to import statements from banks, custodians, or brokers. |
Reconciliation feeds/interfaces to banks and custodians are part of reconciliation tools suite. |
User Access & Security
(5 Yes /5 Known /5 Possible features)
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Role-Based Access Control Enables different permissions and data access based on user roles. |
Role-based access control is essential in enterprise fintech and specifically mentioned in user management features. | |
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Multi-Factor Authentication Supports two-factor or multi-factor authentication for system access. |
Multi-factor authentication is part of Broadridge’s commitment to security. | |
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Single Sign-On Allows users to authenticate via SSO solutions (e.g., LDAP, SAML, OAuth). |
Single sign-on (SSO) is available via integration with common directory services. | |
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Activity Logging Detailed user activity logs for audits and investigations. |
Detailed activity logging is included for audit and investigation needs. | |
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Field Level Permissioning Allows restricting or granting access to individual data fields. |
Field level permissioning is available in advanced user permission settings. |
Compliance & Audit
(5 Yes /5 Known /5 Possible features)
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Configurable Compliance Rules Engine Users can implement custom compliance rules and checks. |
Configurable compliance rules engine is highlighted as part of regulatory compliance capabilities. | |
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Regulatory Change Management Tools Built-in tracking and alerts for upcoming regulatory changes. |
Regulatory change management is supported, including alerts and tracking. | |
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Exception Management Captures and manages exceptions or out-of-policy transactions. |
Exception management is a listed platform capability. | |
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Automated Alerts/Notifications Real-time alerts for breaches and compliance incidents. |
Automated notifications/alerts are included for compliance, breaches, and incidents. | |
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Archiving & Retention Policies Helps ensure data is retained in accordance with regulations. |
Archiving and retention policies are available as part of regulatory compliance support. |
Workflow Automation
(5 Yes /5 Known /5 Possible features)
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Approval Workflows Automates transaction and posting approvals based on defined rules. |
Approval workflows can be configured for postings and transactions according to documentation. | |
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Task Assignment & Tracking Assigns and tracks tasks to individual users or teams. |
Task assignment and tracking is available; referenced in workflow automation features. | |
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Automated Journal Entries Supports scheduled or triggered postings of accounting entries. |
Automated journal entries are standard in fund accounting and supported here. | |
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Batch Processing Automation for bulk processing of routine operations (e.g. posting, pricing). |
Batch processing automation is included for routine operations such as bulk posting and pricing. | |
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Exception Routing Identifies, escalates, and routes exceptions for resolution. |
Exception routing/escalation is referenced as part of operational workflow. |
Performance & Scalability
(0 Yes /0 Known /4 Possible features)
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Concurrent User Support Maximum number of simultaneous users supported reliably. |
No information available | |
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Data Processing Capacity Handles large datasets and high-frequency transaction environments. |
No information available | |
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System Uptime SLA Guaranteed system uptime. |
No information available | |
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Latency Average response time for user and batch operations. |
No information available |
Client & Stakeholder Communication
(4 Yes /4 Known /4 Possible features)
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Client Portal Web-accessible portal for clients to view data and reports. |
Broadridge provides client portals for access to reports and data. | |
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Automated Email Distribution Automatically emails reports and updates to designated contacts. |
Automated email report and update distribution is supported. | |
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Document Management Central repository for client statements, confirmations, and legal documents. |
Document management for statements and confirmations is part of the platform. | |
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Digital Signature Support Allows documents and approvals to be digitally signed and tracked. |
Digital signature support is referenced in support for electronic workflow and approvals. |
Support & Maintenance
(5 Yes /5 Known /6 Possible features)
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24/7 Technical Support Access to technical support around the clock. |
Broadridge offers 24/7 technical support per services page. | |
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Multi-Language Support System can be used in multiple language environments. |
Multi-language support is given as Broadridge serves global clients. | |
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User Training Resources Online or onsite user guides, tutorials, and support. |
Training resources are available for onboarding and ongoing support. | |
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Regular Updates & Upgrades Routine enhancements and patches delivered by the vendor. |
Regular updates and upgrades are specified as part of maintenance agreements. | |
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Disaster Recovery & Backup Automated and tested disaster recovery and backup protocols. |
Disaster recovery and backup procedures are indicated as part of the support model. | |
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Implementation Time Time required to fully deploy the system from contract to go-live. |
No information available |
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