An end-to-end solution for regulatory reporting that helps financial institutions address multiple regulations including MiFID II, EMIR, SFTR, and AIFMD. It offers data management, validation, report creation, and submission capabilities with pre-built templates for various regulatory reports.
More about Broadridge Financial Solutions
Software that automates the preparation and submission of required regulatory reports such as Form PF, Form ADV, AIFMD reporting, and transaction reporting under various regulatory regimes.
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Multi-Source Data Import Capability to ingest data from various formats, protocols, and platforms (e.g., databases, APIs, flat files, custodians). |
Broadridge Regulatory Reporting Solution supports data ingestion from various formats and external platforms, as highlighted in product documentation and customer use cases. | |
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Real-Time Data Sync Synchronization of data feeds at or near real-time for up-to-date reporting. |
Product information refers to near real-time synchronization of data feeds to provide up-to-date reporting and reduce compliance risk. | |
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Data Validation Rules Built-in checks and logic to ensure data quality and flag inconsistencies. |
The platform advertises built-in data validation and exception management for regulatory reports. | |
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Data Enrichment Capabilities Ability to supplement imported data with reference, market, or external datasets. |
Supports data enrichment through connection with market/industry data providers, as described in solution overview. | |
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Automated Data Mapping Tools to facilitate mapping of disparate data sources to unified reporting structures. |
Offers automated mapping tools for disparate data sources per solution documentation. | |
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Data Cleansing Functionality Automated routines to correct errors and fill missing values in data sets. |
Provides automated data quality management, including cleansing of errors and missing values. | |
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Support for Unstructured Data Ability to process documents, emails, or other non-tabular data sources. |
No information available | |
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Batch Data Processing Speed Time taken to process and transform datasets for reporting. |
No information available | |
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Data Lineage Tracking Ability to trace data origins and transformation history for audit purposes. |
Broadridge’s solution supports data lineage tracking for auditability, as required for regulatory compliance. | |
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Manual Data Entry Support Functionality for entering data manually in the absence of automated feed. |
The platform allows for manual adjustments and data entries in the absence of automated feeds. |
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Multi-Jurisdiction Support Ability to handle regulatory rules for multiple countries and regions. |
Explicit support for multiple regulatory jurisdictions is mentioned (e.g., MIFID II, EMIR, SFTR, AIFMD). | |
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Regulation Specific Modules Pre-built modules/templates for major regulatory standards (e.g., AIFMD, UCITS, MiFID II, FATCA, EMIR, SEC, CFTC). |
The solution offers pre-built modules/templates for regulatory standards such as MiFID II, EMIR, SFTR, and AIFMD. | |
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Automated Rule Updates System updates regulatory rules automatically as new laws come into effect. |
Broadridge updates regulatory logic as new laws come into effect with a dedicated compliance team. | |
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Custom Rule Creation Admins can define custom compliance rules tailored to organizational policies. |
Supports custom rule creation to meet internal compliance policies per official documentation. | |
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Version Control on Regulation Logic Maintains historical versions of rule logic to support retrospective reporting. |
Version control of regulatory logic is advertised for audit and retrospective review. | |
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Audit Trail on Rule Changes Logs and tracks all changes made to compliance and reporting rules. |
Captures audit trails of regulatory rule changes in compliance with industry standards. |
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Automated Report Generation Scheduled creation of required regulatory filings. |
Supports automated report generation and scheduled filings as shown in features list. | |
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Custom Report Designer Allows creation of bespoke reports in addition to standard templates. |
Includes a custom report designer for client-specific requirements. | |
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Multi-Format Export Export reports in all required electronic and paper formats (XBRL, XML, CSV, PDF, Excel, etc.). |
Provides export in multiple formats such as XBRL, XML, CSV, PDF, and Excel. | |
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Error and Exception Highlighting Automatically identifies and flags potential errors or omissions in draft reports. |
Automatic error and exception flagging is part of the review process. | |
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Direct e-Filing Integration Connects directly to regulators’ portals/APIs for automated submission. |
Direct integration with regulatory e-filing portals is described in the product brochure. | |
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Filing Status Tracking Monitors the progress, success, or failure of each report submission. |
Monitors filing status with feedback loops, as per UI screenshots and feature overviews. | |
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Ad Hoc Reporting Enables rapid, one-off report production for non-routine compliance queries. |
Supports ad hoc reporting on compliance data per customer use cases. | |
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Historical Filing Storage Stores previously submitted reports for comparison and retrieval. |
Stores previous filings and supports retrieval/comparison, as detailed in reporting features. | |
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Reporting Frequency Options Supports daily, monthly, quarterly, annual or ad-hoc schedules. |
Supports multiple reporting frequencies including daily and ad hoc. |
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Role-Based Task Assignment Allocates tasks to individuals or teams based on permissions and expertise. |
Role-based task assignment is supported for process management. | |
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Automated Alerts & Reminders Sends notifications for deadlines, approvals, and exception handling. |
Automated reminders and alert settings are clearly mentioned in product specifications. | |
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Approval Workflow Customization Configurable multi-level review and sign-off processes. |
Configurable multi-level approval workflows are a standard feature in the product. | |
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Escalation Management Automatically escalates overdue tasks or exceptions to management. |
The platform auto-escalates overdue items to higher management as part of workflow automation. | |
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Task Status Dashboard Visualizes progress of all workflow tasks in real-time. |
Real-time dashboard for task and process status is highlighted in product marketing. | |
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SLA Monitoring Monitors workflow steps against Service Level Agreements. |
SLA monitoring for compliance workflows is included as a process optimization feature. | |
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Automated Scheduling Allows pre-scheduling of recurring tasks and report runs. |
Enables pre-scheduling of routine data and report processes. | |
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Exception Handling Rules Predefined responses to common exceptions or workflow bottlenecks. |
Exception handling and response rules are described in operational documentation. |
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Role-Based Access Control (RBAC) Access permissions can be defined per user or group. |
RBAC is a required security standard for regulatory solutions and is confirmed as a feature. | |
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Multi-Factor Authentication (MFA) Supports two/multi-factor authentication for user login. |
Multi-factor authentication is available as part of the Broadridge security feature set. | |
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Single Sign-On (SSO) Integration Allows users to log in with corporate credentials. |
Supports SSO, allowing use of corporate credentials per security documentation. | |
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Audit Logging Tracks all user actions for monitoring and compliance. |
Comprehensive audit logging for monitoring and compliance is explicitly stated as a feature. | |
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Encryption at Rest and in Transit Data is encrypted both when stored and when sent between systems. |
Encryption is standard for both data in transit and at rest in financial regulatory SaaS solutions. | |
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Granular Data Permissions Fine-grained control over which data a user can view or edit. |
Granular data permissions and role-based restrictions are supported. | |
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Time-Based Access Control Ability to restrict system access to specific hours or dates. |
No information available |
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Full Data Audit Trails Tracks every change to relevant data, reports, and workflows. |
Tracks all changes to data, reports, and workflows for transparency and audit compliance. | |
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Audit Log Export Ability to export audit logs for regulator or auditor review. |
Provides the ability to export audit logs for external review. | |
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Immutable Records Stores all changes in a tamper-evident manner. |
Uses a tamper-evident approach to recordkeeping to preserve data integrity. | |
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Report Reconciliation Logs Logs comparisons between system data and filed reports. |
Support for reconciliation logs is referenced in both product and solution documentation. | |
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User Action History View actions performed by each user on specific records or reports. |
User-specific action history is available and viewable by administrators. | |
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Change Reason Capture Requires users to provide rationale for material changes. |
Requires annotation/rationale for material changes in regulated reports. |
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Exception Trend Analysis Tracks patterns in reporting errors or regulatory breaches over time. |
No information available | |
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Compliance Dashboard Visual interface summarizing key compliance risks and activities. |
Compliance dashboard summarizing key risk and activities is available as a core feature. | |
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Data Quality Metrics Monitors consistency, completeness, and accuracy of reporting data. |
Monitors data quality in reporting workflows, per product feature sheets. | |
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Historical Comparison Reports Allows period-to-period comparison to identify discrepancies or risks. |
Allows historical comparison in reporting to check for trends and mismatches. | |
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Outlier Detection Automatically flags results that deviate from norms. |
No information available | |
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Workflow Efficiency Metrics Measures task throughput and identifies bottlenecks. |
No information available |
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Custom Workflow Builder Design and deploy custom task and approval steps. |
Custom workflow configuration is highlighted in platform feature lists. | |
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Configurable Data Fields Add, remove, or modify data fields for changing needs. |
Fields and forms can be customized to meet changing requirements, as detailed in user manual. | |
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White-Labelling Options Apply custom branding to user interfaces and reports. |
No information available | |
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User Interface Personalization Enables individual users to customize their dashboards. |
Users can personalize dashboards for their specific needs. | |
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Rule Engine for Custom Logic Allows non-technical users to define new rules and triggers. |
No information available |
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Open REST/SOAP APIs Enables external systems to connect and automate data exchanges. |
Open RESTful APIs are available for integration with external systems. | |
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Pre-Built Integrations Available plugins for common fund management and accounting platforms. |
Offers numerous pre-built system integrations per integration documentation. | |
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Webhook/Event Notification Support Outbound triggers for events like report completion or data changes. |
Supports webhook/event notifications for automated workflows. | |
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API Call Throughput Maximum number of API requests supported per second. |
No information available | |
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Bulk Data Upload & Download Ability to move large data sets efficiently. |
Allows bulk transfer of data for large regulatory files, as stated in technical documentation. |
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Horizontal/Vertical Scaling System can scale out by adding resources or nodes. |
The platform is designed to scale horizontally and vertically to meet different client size and workload demands. | |
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Concurrent User Limit Maximum number of users able to use the system simultaneously. |
No information available | |
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High Availability/Uptime SLA Service level guarantee for system availability. |
undefined Promotes high system availability (uptime SLA) for regulatory-critical processes (e.g., 99.9% uptime), though exact value not public. |
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Peak Load Processing Speed Performance under heavy data or usage peaks. |
No information available |
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24/7 Technical Support Around-the-clock assistance for critical issues. |
Broadridge provides 24/7 technical support for critical system issues. | |
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Comprehensive User Documentation Detailed manuals and online help resources. |
Comprehensive documentation and user help resources are available. | |
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Integration Support Services Assistance for connecting the product with other systems. |
Integration support is included, with professionals available to assist with onboarding. | |
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Dedicated Account Manager A single point of contact for complex support needs. |
Broadridge assigns dedicated account managers for enterprise clients. | |
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Onboarding & Training Packages Structured user education for rollout and adoption. |
Training and onboarding packages are offered as part of the client implementation process. | |
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Compliance Alert Service Proactive notifications of regulatory changes impacting reporting. |
Automatic notifications for relevant regulatory changes are provided as a service. |
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