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A suite of solutions for capital markets including trading platforms, post-trade processing, securities financing, and risk management. Offers multi-asset class capabilities with straight-through processing and regulatory compliance features.
More about Broadridge Financial Solutions
Systems that support issuance, trading, and management of capital market instruments such as stocks, bonds, and derivatives.
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Multi-Asset Support
Ability to handle equities, fixed income, derivatives, FX, and other instruments.
Yes - has this feature
Broadridge Capital Markets advertises multi-asset class capabilities, indicating support for equities, fixed income, derivatives, FX, and other instruments.
Order Routing
Configurable order routing to global markets and venues.
Yes - has this feature
Order routing to global markets is explicitly mentioned in solution descriptions and client documentation.
High Throughput
Number of orders processed per second.
No information available
Low Latency Execution
Average time from order entry to execution.
No information available
Pre-Trade Risk Checks
Real-time pre-trade compliance and risk checks.
Yes - has this feature
Pre-trade risk and compliance checks referenced under risk management and compliance modules.
Algorithmic Trading
Support for execution algorithms (VWAP, TWAP, POV, etc).
Yes - has this feature
Algorithmic trading support is highlighted as part of advanced trading functionalities on product pages and brochures.
Direct Market Access (DMA)
Direct connectivity to market venues without intermediaries.
Yes - has this feature
DMA is offered as a capability in Broadridge Capital Markets solutions for direct market access.
Smart Order Routing
Automation to optimize execution across multiple venues.
Yes - has this feature
Smart order routing and venue selection described in functionality overviews.
Order Lifecycle Management
Tracking and management of order status from initiation to settlement.
Yes - has this feature
Order lifecycle management is a standard centerpiece for OMS solutions and called out explicitly.
Trade Enrichment
Augmenting trades with additional reference data or client attributes.
Yes - has this feature
Trade enrichment is included as part of post-trade services for reference data augmentation.
FIX Protocol Support
Seamless integration with counterparties and venues via the FIX protocol.
Yes - has this feature
FIX protocol support is prominently shown for integration with counterparties and venues.
Error Handling
Robust mechanisms for error detection, reporting, and resolution.
Yes - has this feature
Error detection, handling and robust workflows are documented as part of trade management.
Block Trading
Handling of large block orders and negotiation workflows.
Yes - has this feature
Block trading functionality with negotiation workflows included as part of large order management modules.
Order Staging
Staging area for compliance and operational checks before release.
Yes - has this feature
Order staging prior to execution for compliance and checks is a key feature.
Real-Time Risk Calculation
Horizontal and vertical risk metrics updated live.
Yes - has this feature
Live real-time risk calculation described in the platform's risk management section.
Credit Limit Monitoring
Automated monitoring and control over trading limits.
Yes - has this feature
Credit limit monitoring and automated checks reported as standard for regulatory compliance.
Market Abuse Detection
Surveillance for insider trading, spoofing, and other abuses.
Yes - has this feature
Market abuse and surveillance modules are advertised as part of compliance.
Regulatory Reporting
Support for MiFID II, Dodd-Frank, EMIR, and other jurisdictional reporting.
Yes - has this feature
Regulatory reporting support includes MiFID II, EMIR, Dodd-Frank, and more per product pages.
Trade Surveillance Alerts
Automated alerting for breaches or anomalies.
Yes - has this feature
Automated alerting and breaches through trade surveillance included in the compliance suite.
Scenario Analysis
Ability to run stress testing or scenario analysis for risk exposures.
Yes - has this feature
Stress testing and scenario analysis are listed as available risk management tools.
Pre-Trade Compliance Checks
Prevent trades that would violate regulatory or client compliance rules.
Yes - has this feature
Pre-trade compliance checks for regulations and client rules described in compliance documentation.
Post-Trade Compliance Monitoring
Daily or batch-based compliance reviews.
Yes - has this feature
Post-trade compliance monitoring processes described in risk and compliance modules.
Limit Breach Handling
Automated actions (alerts, blocks) when limits are exceeded.
Yes - has this feature
Automated alerts and blocking on limit breaches referenced in functionality documentation.
Historical Audit Trails
Complete, immutable logs of all risk and compliance related actions.
Yes - has this feature
Audit trails and immutable logs available as part of compliance and risk records.
Risk Dashboard Customization
Ability to configure and personalize dashboards.
Yes - has this feature
Risk dashboard customization named as a user personalization feature in platform overviews.
Trade Approval Workflows
Multi-level workflows for high-risk or exception trades.
Yes - has this feature
Multi-level trade approval workflows for exceptions and risk in included documentation.
Position Limit Management
Monitoring of specific security and portfolio limits.
Yes - has this feature
Position limit management is a core function for risk modules.
Flagged Entity Screening
Screening of transactions or clients against watchlists.
Yes - has this feature
Screening against flagged entities/watchlists is included under compliance solutions.
Exchange Connectivity
Direct or via service providers to multiple market venues globally.
Yes - has this feature
Direct exchange connectivity to multiple global markets is a headline feature.
Market Data Feeds
Subscription and consumption of real-time and historical data.
Yes - has this feature
Market data feeds for real-time and historical data available via partnerships and services.
Normalized Data Feeds
Standardized interfaces across various data sources.
Yes - has this feature
Data feeds are normalized and standardized per technical documentation.
Latency Monitoring
Measuring and optimizing data transfer speeds.
Yes - has this feature
Latency monitoring and reporting included as part of data and trading performance tools.
Data Feed Redundancy
Failover mechanisms for critical data sources.
Yes - has this feature
Data feed redundancy and failover is described under operational resilience.
Reference Data Management
Centralized management of security identifiers, symbology, pricing, and corporate actions.
Yes - has this feature
Reference data management features highlighted as key to straight-through processing.
API Integration
Comprehensive APIs for inbound and outbound data.
Yes - has this feature
Comprehensive API integration offered for inbound and outbound data through published APIs.
OMS/EMS Integration
Interoperability with external Order/Execution Management Systems.
Yes - has this feature
OMS/EMS integration explicitly offered for clients with external systems, confirmed in solution briefs.
Cross-Venue Aggregation
Aggregated view of orders, quotes, and trades across venues.
Yes - has this feature
Cross-venue aggregation, including aggregated view of orders and trades, indicated as reporting/OMS feature.
Connection Bandwidth
Maximum data throughput supported.
No information available
Data Latency
Time taken for market data to reach the client.
No information available
Multi-Timezone Support
Ability to operate seamlessly in multiple regional time zones.
Yes - has this feature
Multi-timezone operation is typical for global platforms; referenced in support literature.
Custom Feed Handlers
Build custom adapters for new or niche data sources.
Yes - has this feature
Custom feed handler support to accommodate various market data sources is mentioned in integration specs.
Data Usage Monitoring
Track data consumption for cost or regulatory reasons.
No information available
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Trade Confirmation
Electronic delivery and affirmation of trade details with counterparties.
No information available
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Clearing Connectivity
Integration with central counterparties and clearinghouses.
No information available
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Automated Settlement Instruction
Generation and delivery of SWIFT and other settlement messages.
No information available
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Settlement Cycle Support
Supports multiple settlement cycles (T+0, T+1, T+2, etc.).
No information available
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Fail Trade Handling
Processes for managing failed or unmatched trades.
No information available
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Reconciliation Tools
Automated trade and position reconciliation across systems.
No information available
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Trade Matching Rates
Percentage of trades automatically matched and settled.
No information available
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Physical and Book Entry Settlement
Support for both physical and electronic settlement types.
No information available
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Corporate Actions Processing
Automated handling of dividends, splits, etc.
No information available
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Custodian Integration
Straight-through processing with custodian banks.
No information available
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Settlement Exception Management
Exception tracking, workflow, and resolution tracking.
No information available
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Regulatory Settlement Reporting
Automated compliance with settlement reporting standards.
No information available
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Settlement Volume Capacity
Maximum number of trades settled per day.
No information available
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Fee and Tax Calculation
Automated calculation and reporting of settlement fees and taxes.
No information available
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Real-Time Analytics
On-the-fly analysis of trades, positions, and risk.
No information available
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Custom Report Builder
Tools for building and scheduling tailored reports.
No information available
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Regulatory Reporting Templates
Pre-built templates for regulatory compliance.
No information available
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Client-Specific Reporting
Support for customized client and investor reports.
No information available
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Data Export Capabilities
Export to formats like CSV, XML, JSON, or direct API feed.
No information available
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Intraday Snapshot/Drill-down
Granular, timestamped analytics snapshots.
No information available
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Scheduled and Event-Triggered Reports
Delivery based on time or transaction triggers.
No information available
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KPI Dashboard
Real-time tracking of key performance indicators.
No information available
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Reporting Throughput
Number of reports generated per hour.
No information available
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Interactive Data Visualization
Graphs, charts, and interactive visuals for exploring data.
No information available
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Historical Data Access
Access to trade, position, and P&L history.
No information available
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Role-Based Report Access
Different access privileges per user type.
No information available
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Automated Error/Exception Reporting
Flag and document unusual data conditions.
No information available
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Flexible Report Distribution
Email, SFTP, API, or secure portal delivery options.
No information available
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Horizontal Scalability
Able to add additional servers/nodes for increased workload.
No information available
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Vertical Scalability
Increase performance by upgrading individual components.
No information available
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Concurrent User Capacity
Number of users supported simultaneously.
No information available
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Failover Capabilities
Seamless system switchover during component failure.
No information available
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Disaster Recovery Time
Estimated time to recover services after disaster.
No information available
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Peak Transaction Throughput
Capacity to handle surges in trade/event volume.
No information available
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Cloud Deployment Readiness
Native or hybrid support for cloud infrastructure.
No information available
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Auto-Scaling
Automatic allocation of resources during high load.
No information available
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Load Balancing
Distribution of workload across multiple servers.
No information available
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Zero Downtime Upgrades
Apply updates without interrupting service.
No information available
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Multi-Instance Support
Run multiple concurrent instances for multi-tenant needs.
No information available
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Geo-Redundant Architecture
Replication in multiple data centers for resilience.
No information available
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Elastic Storage Capacity
Expandable storage for growing trade data.
No information available
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Performance Monitoring Dashboard
Real-time resource and throughput monitoring tools.
No information available
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Multi-Factor Authentication
Requires more than one method for login authentication.
No information available
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End-to-End Encryption
Trade data encrypted in transit and at rest.
No information available
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Role-Based Access Control
Strict user access based on permissions and roles.
No information available
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Audit Logging
Comprehensive logs of user and system actions.
No information available
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Single Sign-On (SSO)
Integrates with corporate identity services for secure login.
No information available
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Data Loss Prevention
Protects against unauthorized data transfer or leakage.
No information available
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Intrusion Detection
Monitoring and alerts for potential system breaches.
No information available
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User Session Timeouts
Automatic logoff after inactivity.
No information available
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IP Whitelisting
Restrict access to approved network addresses.
No information available
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Regular Security Patching
Routine application of security updates.
No information available
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Data Masking/Redaction
Sensitive information hidden from unauthorized users.
No information available
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Penetration Testing Support
Facilitates vulnerability testing and remediation.
No information available
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User Password Policy Enforcement
Enforces complexity and rotation requirements.
No information available
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Secure File Transfer
All file exchanges via encrypted protocols.
No information available
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Customizable Dashboards
Personalize screens for workflows, products, or user roles.
No information available
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Responsive Design
Adapts to all device types, including mobile and tablets.
No information available
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Keyboard Shortcuts
Accelerated navigation and data entry via shortcuts.
No information available
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Drag-and-Drop Workflow
Flexible organization of widgets, tools, and orders.
No information available
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Multiple Language Support
UI available in multiple international languages.
No information available
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Real-Time Notifications
Instant alerts and messages for trade or risk events.
No information available
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Accessibility Compliance
Meets WCAG/ADA accessibility standards.
No information available
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Theme and Branding
Adjust color schemes and logos for clients/branches.
No information available
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API Access for Custom UI
Support for building custom user interfaces using APIs.
No information available
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Integrated Help/Tooltips
In-product tips and help contextually integrated.
No information available
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Bulk Upload/Download Tools
Simultaneously upload or download multiple records.
No information available
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UI Response Time
Average user interface response latency.
No information available
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Custom Alerts and Filtering
Personalized alert and workflow filter settings.
No information available
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Multiscreen/Window Support
Arrange and move application windows/floors across screens.
No information available
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Open API Framework
RESTful, SOAP, or FIX APIs for all platform capabilities.
No information available
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Plug-In Architecture
Extensible with custom modules for analytics, compliance, etc.
No information available
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Batch File Import/Export
Bulk data transfer capabilities to/from other systems.
No information available
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ERP/Back-Office Integration
Connectivity to ERP, accounting, and finance software.
No information available
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Data Transformation Tools
Utilities to cleanse or reformat inbound/outbound data.
No information available
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Event-Driven Messaging
Trigger workflows or alerts based on business events.
No information available
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External Data Vendor Integration
Pre-built adapters for Bloomberg, Refinitiv, etc.
No information available
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Workflow Automation Engines
Custom rule or script-based workflow definition.
No information available
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Reporting System Integration
Push data to external or regulatory reporting engines.
No information available
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Testing Sandbox Environments
Provision simulated test systems for development.
No information available
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Data Synchronization Frequency
Time between system sync cycles.
No information available
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Event Log Exporting
Ability to export logs in standard formats for analytics.
No information available
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Authentication Federation
Single, unified identity across integrated systems.
No information available
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Microservices Support
Ability to leverage or expose platform microservices.
No information available
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Automated KYC Checks
Integration with KYC databases and workflows.
No information available
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Account Opening Automation
Electronic account forms and workflow automation.
No information available
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Document Management
Secure upload, storage, and retrieval of client documents.
No information available
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Customer 360 View
Consolidated view of client products, history, and interactions.
No information available
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Lifecycle Alerts
Notifies relationship managers about reviews, renewals, or milestones.
No information available
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Relationship Tree Mapping
Visualization of client, sub-account, and affiliate relationships.
No information available
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Consent and Regulatory Flag Tracking
Store and track required client consents.
No information available
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Onboarding Time Metrics
Average time to complete onboarding per client.
No information available
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Client Portal Access
Self-service web portal for onboarding, documentation, and status.
No information available
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Digital Signature Support
Capture and verify digital signatures for documentation.
No information available
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Bulk Client Upload
Upload multiple client profiles via template or API.
No information available
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AML Screening Integration
Link to Anti-Money Laundering screening tools.
No information available
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Data Anonymization Tools
Options to mask or anonymize client data in non-production.
No information available
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Integrated Financial Profiling
Risk and suitability profiling embedded in onboarding.
No information available
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Deployment Models
Support on-premise, cloud-hosted, or hybrid installations.
No information available
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Continuous Integration/DevOps Tooling
Support for CI/CD pipelines in development.
No information available
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Automated Upgrades and Rollbacks
Easy upgrade/rollback with minimal user disruption.
No information available
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24x7 Monitoring and Alerts
Comprehensive operations dashboard with alerting.
No information available
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Self-Healing Processes
Automated detection and recovery from common failures.
No information available
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Service Uptime SLA
Guaranteed minimum uptime.
No information available
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Automated Backups
Scheduled backup of all configuration and data.
No information available
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Rollback/Test Environments
Provision of environments for patch or rollback testing.
No information available
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Configuration Management
Central, secure management of system configurations.
No information available
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Automated Log Rotation/Retention
Manage and purge logs based on policies.
No information available
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Dynamic Scaling
Real-time scaling in response to operational load.
No information available
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User Support Portal
Issue tracking, ticket portal, and knowledgebase.
No information available
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Automated Patching
Automatic rollout of patches/updates.
No information available
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Performance Benchmarking Tools
Internal tools to benchmark and report platform performance.
No information available
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