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Comprehensive compliance platform covering regulatory reporting, risk monitoring, trade compliance, AML/KYC, and investor disclosure requirements. The solution helps fund managers streamline compliance processes, manage regulatory change, and provides real-time monitoring for potential violations.
More about Broadridge Financial Solutions
Platforms that track regulatory requirements, manage compliance workflows, and document adherence to various financial regulations such as UCITS, AIFMD, MiFID II, SEC rules, and other jurisdictional requirements.
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Automated Rule Monitoring
Automated checks of fund operations against current regulatory rules.
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Audit Trail Generation
Maintains comprehensive logs of all compliance activities and policy changes.
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Real-Time Alerts
Notifies users instantly when potential compliance breaches occur.
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Custom Rule Configuration
Allows creation and maintenance of firm-specific rules in addition to regulatory ones.
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Pre-Trade Compliance Checks
Verifies trade compliance prior to execution.
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Post-Trade Compliance Checks
Analyzes executed trades for post-factum regulatory compliance.
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Regulatory Change Updates
System is updated with changes and interpretations of relevant regulations.
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Violation Escalation Workflow
Automated workflows for managing responses to potential or actual compliance violations.
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Exception Management
Tools for identifying, documenting, and resolving compliance exceptions.
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Compliance Dashboard
Centralized dashboard summarizing current compliance status and outstanding issues.
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Automated Regulatory Reporting
Generates and files reports required by relevant authorities (e.g., SEC, ESMA, FCA).
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Custom Report Generation
Flexible tools to create reports tailored to internal or external stakeholder needs.
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Scheduled Reporting
Automated scheduling and delivery of reports.
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Document Archiving
Secure and searchable storage of compliance documents and evidence.
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Self-Service Reporting
Allows end-users to generate and customize reports without IT involvement.
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Audit-Ready Documentation
Organizes and formats documentation for easy retrieval during audits.
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Data Export
Exports data in a variety of industry-standard formats (e.g., CSV, XML, XBRL).
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Workflow Audit Logs
Preserves historical records of reporting activities and user access.
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Customizable Permissions
Access to reports and documents controlled by user roles.
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Regulation-Specific Templates
Pre-built reporting templates for key regulations (AIFMD, Form PF, MiFID II, etc).
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Multi-Source Data Feeds
Integrates with custodians, trading systems, market data, and third-party risk services.
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Data Normalization
Transforms disparate data sets into a common format for analysis.
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Real-Time Data Processing
Processes incoming data in near real time for the most current insights.
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Data Quality Checks
Validates incoming data for completeness and accuracy before use.
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Automated Data Reconciliation
Cross-checks transaction and position records to spot discrepancies.
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Bulk Data Upload
Supports batch imports for large data sets (e.g., historical records).
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API Connectivity
Modern API support for seamless integration with other applications.
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Flexible File Import/Export
Handles multiple file types for interoperability with legacy systems.
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Data Encryption in Transit
Ensures sensitive compliance data is encrypted during network transfers.
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Data Encryption at Rest
Securely encrypts stored regulatory and compliance information.
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Role-Based Access Control
Assigns user permissions based on job function or seniority.
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Multi-Factor Authentication
Layered security for user login and system access.
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User Activity Monitoring
Tracks and audits user activity to prevent unauthorized changes.
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Workflow Automation
Automates routine compliance tasks and approval processes.
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Delegation & Escalation
Automated reassignment of tasks due to absence or escalation due to time-sensitive issues.
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Task Notifications
Automated alerts and to-do reminders for compliance staff.
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Bulk User Management
Efficient onboarding/offboarding and permissions management for multiple users.
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Custom Workflow Builder
Admins can configure or adapt workflow steps to fit internal compliance procedures.
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SLA Tracking
Monitors task turnaround against internal and regulatory deadlines.
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User Audit Trail
Logs all actions taken by users for compliance and internal review.
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Regulatory News Feed
Automatically imports latest regulatory updates from trusted sources.
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Impact Assessment Tools
Maps regulatory changes to impacted policies, controls, and business lines.
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Change Task Assignment
Creates and assigns tasks related to implementing regulatory changes.
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Policy Update Workflow
Managed workflows for revising and approving compliance policies.
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Version Control
Tracks changes to compliance manuals and regulatory documents.
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Change Communication
Automated alerts and updates to all users affected by policy changes.
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Regulator Correspondence Tracking
Stores and manages communication with regulators regarding rule changes.
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Gap Analysis Tools
Identifies and analyzes areas where current processes may be non-compliant with new regulations.
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Automatic Rulebase Update
System automatically updates compliance monitoring based on regulatory changes.
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Regulatory Calendar
Timelines for key regulatory change deadlines and milestones.
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Risk Scoring Engine
Calculates risk scores based on current regulatory and operational exposure.
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Risk Heatmaps
Visualizes areas of highest compliance and operational risk.
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Scenario Analysis
Assesses impact of hypothetical compliance breaches or regulatory changes.
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KRI Monitoring
Tracks Key Risk Indicators defined within the risk management framework.
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Automated Risk Mitigation Reminders
Notifies responsible parties of required mitigation activities.
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Incident & Loss Event Logging
Captures details of compliance or operational risk events and remediation.
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Risk Control Library
Central repository for standard controls and their effectiveness assessments.
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Linkage of Controls to Regulations
Maps internal controls to regulatory obligations for better gap detection.
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Risk Mitigation Workflow
Structured processes for investigating and closing out identified risks.
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Periodic Risk Review Scheduling
Plans recurring reviews and updates to risk assessments.
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Trade Surveillance
Monitors trades for potential market abuse, manipulation, or limit breaches.
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AML Screening
Automated screening for Anti-Money Laundering (AML) flags in fund flows and counterparties.
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Watchlist & PEP Screening
Cross-checks parties against global watchlists and Politically Exposed Person (PEP) databases.
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Insider Trading Detection
Identifies patterns and suspicious activity suggesting insider trading.
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Employee Personal Trading Monitoring
Tracks and reviews personal trades by relevant employees for policy compliance.
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Threshold and Limit Monitoring
Flags trades and positions exceeding predefined compliance limits.
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Pattern Recognition
Machine-learning based detection of unusual or anomalous patterns in transactions.
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Counterparty Risk Assessment
Evaluates compliance risks associated with trade counterparties.
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Transaction Velocity Monitoring
Tracks frequency and volume of transactions.
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Surveillance Rule Customization
Allows user customization of surveillance scenarios and thresholds.
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Portfolio Management System Integration
Seamless data import/export with PMS, OMS, or accounting platforms.
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Custodian and Prime Broker Integration
Direct data feeds from banks and prime brokers for up-to-date positions and transactions.
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Regulator Portal Submission
Direct, automated submission to regulatory portals (e.g., SEC EDGAR).
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Third-Party API Support
Robust API ecosystem for integration with regtech or analytics tools.
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SFTP/FTP Data Transfer
Secure file transfer for batch data loads and reporting.
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Single Sign-On (SSO)
Integration with enterprise SSO solutions for seamless authentication.
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Webhook Support
Real-time notifications and data pushes to other applications.
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Message Queue Connectivity
Support for message queue protocols (e.g., Kafka, RabbitMQ) for large-scale events.
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RESTful & SOAP APIs
Modern and legacy API protocol support.
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Custom Integration Development Toolkit
SDK and documentation for developing custom system connectors.
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Intuitive User Interface
Modern UI simplifies complex compliance scenarios for all users.
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Responsive Design
Works across desktop, tablet, and mobile devices.
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Customizable Dashboards
Users can tailor home screens to their functional requirements.
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Search & Filter Functionality
Powerful search and filtering for large compliance datasets.
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Role-Based Views
Interface elements visible or hidden according to user role.
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Localization & Multilingual Support
Usable by global teams in multiple languages.
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Help & Training Resources
Contextual help, tutorials, and user guides built into the application.
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Onboarding Wizard
Guided setup process for new users or teams.
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Accessibility Features
Support for WCAG, screen readers, and keyboard navigation.
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Feedback & Support Ticketing
Easy method to report issues and request enhancements.
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Data Encryption (At Rest and In Transit)
AES, TLS, or equivalent encryption for compliance datasets.
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Granular Access Controls
Permissions at data, action, and record levels.
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Audit Logging
Immutable logs of all system activity.
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Security Incident Notification
Alert system for detected security breaches.
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Data Retention Controls
Configurable settings for how long sensitive information is stored.
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GDPR/CCPA Compliance Tools
Mechanisms to support global data privacy regulations.
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User Authentication Options
Choice of password, token, or biometric login.
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Penetration Testing Certification
Third-party security testing on a regular basis.
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Advanced Threat Detection
AI or signature-based recognition of malicious activity.
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Data Masking
Hides sensitive data when not absolutely necessary for user role.
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Concurrent User Support
Handles simultaneous logins and usage by multiple compliance staff.
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Response Time
Average system response time under maximum load conditions.
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High-Volume Data Processing
Capable of ingesting and analyzing large sets of transactional data.
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Elastic Storage Scaling
Automatic increase in storage allocation as data grows.
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Load Balancing
Distributes workload efficiently across servers.
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Disaster Recovery
Ability to recover compliance data and settings after critical failure.
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Cloud and On-Premise Support
Supports both deployment models, as needed by the organization.
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Scheduled Downtime Notifications
Advanced notice and minimal disruption during system maintenance.
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Redundancy & Failover
Backup mechanisms to maintain service during system outages.
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Uptime Guarantee
SLA-based assurance of system availability.
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