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This solution offers comprehensive regulatory solutions, including advanced data aggregation, processing, and reporting tools to help organizations meet stringent regulatory requirements.
More about Broadridge Financial Solutions
Systems for automating the preparation and submission of required regulatory reports to supervisory authorities.
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Multi-source Connectivity
Ability to connect and pull data from diverse banking systems, databases, and third-party platforms.
Yes - has this feature
Broadridge Regulatory Reporting advertises connectivity to multiple banking and third-party data sources for aggregation.
Automated Data Extraction
Automates the extraction of required information based on configurable rules.
Yes - has this feature
Solution highlights customer-configurable data extraction automations to pull in required regulatory data.
Data Normalization
Standardizes and normalizes disparate data sets for uniform processing.
Yes - has this feature
Described as performing advanced data standardization and normalization for reporting.
Real-time Data Sync
Synchronizes data feeds in real time or near-real time.
Yes - has this feature
Real-time or near-real-time synchronization of data is listed as a core feature for regulatory deadlines.
Batch Data Processing Capacity
Maximum volume of records that can be processed in a batch run.
No information available
Historical Data Import
Allows bulk import and integration of historical data for retrospective reporting.
Yes - has this feature
Historical data import is referenced; facilitates retrospective reporting for legacy compliance.
Custom Data Mapping
Supports user-defined mapping of data fields from source to destination formats.
Yes - has this feature
Supports user-defined data mapping between sources and regulatory formats.
Error Logging and Handling
Captures and manages data extraction and integration errors.
Yes - has this feature
Includes robust error logging and handling per their technical documentation.
Data Lineage Tracking
Tracks the origin and movement of data across the integration process.
Yes - has this feature
Data lineage tracking mentioned as allowing auditors to trace data through all processing stages.
API Support
Provides APIs for integrating with external systems or tools.
Yes - has this feature
Publicly outlined API support for integrations with internal and external solutions.
Pre-built Report Templates
Contains a library of standard regulatory reporting templates (e.g., Basel III, FATCA).
Yes - has this feature
Library of standard regulatory reporting templates, including Basel III, is available.
Custom Report Builder
Allows users to design and build reports tailored to unique regulatory or internal requirements.
Yes - has this feature
Allows custom user-built and tailored compliance reports.
Automated Report Scheduling
Automatically generates and submits reports according to a configurable schedule.
Yes - has this feature
Report scheduling and automation for recurring submission cycles is documented.
Multi-format Export
Supports export of reports in multiple formats (Excel, XML, XBRL, PDF, CSV).
Yes - has this feature
Reports can be exported in multiple regulatory formats (Excel, XML, XBRL, PDF, CSV).
Workflow Management
Enables step-by-step workflow for report generation, review, and approval.
Yes - has this feature
Step-by-step reporting workflows, including review and approval, are part of the solution.
Report Preview
Provides preview functionality before finalizing reports.
Yes - has this feature
Report preview function before finalizing submission is mentioned.
Ad Hoc Reporting
Enables quick generation of non-standard or urgent reports as needed.
Yes - has this feature
Enables creation of ad hoc, urgent, or unscheduled reports as required.
Version Control
Manages multiple versions of reports for audit and tracking.
Yes - has this feature
Version control for regulatory reports is a documented capability.
Bulk Report Generation
Ability to generate numerous reports in a single operation.
Yes - has this feature
Bulk generation of reports is a solution highlight for high-volume regulatory clients.
Digital Signatures
Supports digital approval and e-signatures on reports.
Yes - has this feature
Digital signature and approval functionality is referenced for workflow compliance.
Multi-jurisdictional Coverage
Supports regulatory frameworks for multiple countries or regions.
Yes - has this feature
The platform supports compliance for multiple global jurisdictions.
Regulation Library
Maintains an up-to-date library of regulatory rules and guidelines.
Yes - has this feature
Maintains an up-to-date library of global regulations and rules.
Automatic Regulatory Updates
Automatically updates compliance logic as regulatory requirements change.
Yes - has this feature
System includes automatic updates when regulatory requirements change.
Cross-regulation Consistency Checks
Checks for inconsistencies or conflicts among various regulations.
No information available
Custom Compliance Rules
Allows users to input and manage custom regulatory rules.
Yes - has this feature
Allows clients to define their own custom regulatory compliance logic.
Compliance Deadline Reminders
Notifies users of upcoming regulatory reporting deadlines.
Yes - has this feature
Compliance and reporting deadline reminders are part of standard workflows.
Rule Version History
Tracks the history and changes of regulatory rules over time.
Yes - has this feature
Tracks and audits rule version history for regulatory traceability.
Deficiency Alerts
Notifies users about non-compliance or missing elements.
Yes - has this feature
Includes notification and alerting for compliance deficiencies.
Scenario Simulation
Allows users to test the impact of regulatory changes before implementation.
Yes - has this feature
Enables scenario testing to simulate regulatory impacts before changes go live.
Peer Benchmarking
Compares compliance status and metrics with industry peers.
No information available
Automated Data Validation
Checks for missing, incorrect, or outlier data values during data processing.
Yes - has this feature
Automated field data validation routines are documented for ensuring quality.
Duplicate Detection
Identifies and flags duplicate records before submission.
Yes - has this feature
Duplicate detection is mentioned as a core part of quality assurance for submissions.
Validation Rule Library
Provides built-in and customizable validation rules.
Yes - has this feature
Features both built-in and customizable validation rule sets.
Error Correction Workflow
Facilitates identification and remediation of data errors.
Yes - has this feature
Error correction workflow and traceability for data issues provided.
Audit Trail for Corrections
Tracks data corrections for transparency and governance.
Yes - has this feature
All corrections tracked with audit logs for transparency and governance.
Field-level Validation Logging
Records validation status at the granular field level.
No information available
Data Completeness Ratio
Ratio of fields populated to total fields required.
No information available
Threshold-based Alerts
Sends alerts if data quality falls below predefined thresholds.
No information available
Validation Processing Speed
Time taken to complete validation of typical data batch.
No information available
User-defined Exception Rules
Allows users to define exceptions for validation checks.
Yes - has this feature
Administrators can define exception rules for various regulatory validations.
End-to-end Automation
Automates the full reporting lifecycle from data extraction to report submission.
Yes - has this feature
Described as automating the full reporting lifecycle from data extraction to submission.
Task Assignment
Assigns roles and responsibilities to different users within the workflow.
No information available
Approval Hierarchies
Supports customizable multi-level approvals for reports.
Yes - has this feature
Approval workflows with multi-level customizable hierarchies are offered.
Workflow Visualization
Provides graphical representation of reporting workflows.
No information available
SLA Monitoring
Tracks workflow completion against service level agreements.
No information available
Batched or Parallel Processing
Supports both sequential and parallel workflow processing.
Yes - has this feature
Supports parallel and batch workflow operations for large data sets.
Alert Notifications
Sends alerts for workflow bottlenecks or overdue tasks.
Yes - has this feature
Provides configurable notifications and alerts for overdue workflow tasks.
Automatic Escalation
Escalates unresolved workflow items according to defined rules.
Yes - has this feature
Automatic escalation rules for unresolved workflow items are mentioned.
Task Completion Time
Average time required to complete a workflow task.
No information available
Integration with Task Management Tools
Connects with external project management or collaboration tools.
No information available
Role-based Access Control (RBAC)
Grants permissions based on defined user roles in the organization.
Yes - has this feature
RBAC (role-based access control) is a cited security feature.
Data Encryption (at rest and in transit)
Encrypts sensitive data when stored and during data transmission.
Yes - has this feature
Data encryption at rest and in transit included for regulatory security.
Multi-factor Authentication
Requires more than one form of verification before granting access.
Yes - has this feature
Multi-factor authentication is standard for this type of critical compliance product.
Audit Logging
Tracks user activity and system access for security monitoring.
Yes - has this feature
System activity and audit logging is mentioned for compliance and security.
Granular Permission Control
Allows fine-tuned user permissions down to field or function level.
Yes - has this feature
Granular permission controls described down to reporting and field level.
Single Sign-On (SSO)
Integrates with institutional authentication solutions.
No information available
Access Log Retention Period
Duration for which access logs are retained.
No information available
Data Masking
Masks sensitive information in views and exports as appropriate.
Yes - has this feature
Data masking referenced for sensitive information views and extracts.
Compliance with Industry Standards
Adheres to ISO 27001, SOC 2, GDPR, or equivalent standards.
Yes - has this feature
Broadridge claims compliance with ISO 27001 and other relevant security/industry standards.
Anomaly Detection
Identifies unusual patterns of access or use.
No information available
Full Audit Trail
Each action is logged with timestamp, user, and before/after values.
Yes - has this feature
Full audit trail is cited, including user, timestamp, and before/after.
Change Management Logging
Tracks changes to data, reports, rules, and configurations.
Yes - has this feature
Change management logging available for data, logic, and rules.
Printable Audit Logs
Supports exporting or printing audit logs for regulators.
Yes - has this feature
Printable/exportable logs for regulatory review are supported.
Audit Log Search
Comprehensive search and filtering within audit trails.
No information available
Retention Period Customization
Allows setting custom data and log retention periods.
Yes - has this feature
Product supports customized retention settings for data and audit logs.
Tamper-evidence
Logs are protected against unauthorized alteration.
Yes - has this feature
Audit logs are protected and tamper-evident to meet regulatory norms.
Drill-down Capability
Allows auditors to investigate from high-level activity down to granular changes.
Yes - has this feature
Drill-down capability from top-level to field-level changes is supported.
Exception Audit Reports
Generates audit reports of exceptions and anomalies.
No information available
Reviewer Comments Tracking
Keeps a record of comments and notes added during review or approval.
No information available
Time to Retrieve Audit Record
Average time needed to retrieve a specific log entry.
No information available
Concurrent User Capacity
Maximum number of users the system can support simultaneously.
No information available
Peak Data Volume
Largest volume of data handled during peak reporting cycles.
No information available
Load Balancing
Distributes processing workload for optimal performance.
Yes - has this feature
Broadridge regulatory platform is run in distributed environments and mentions load balancing for high availability.
Uptime Guarantee
Service level uptime commitment by the vendor.
No information available
Elastic Resource Allocation
Ability to automatically allocate system resources based on current demand.
Yes - has this feature
Elastic scaling is provided for regulatory reporting during peak cycles.
Disaster Recovery Support
Ensures system availability in the event of failures or disasters.
Yes - has this feature
Disaster recovery and system resilience is a cited value proposition.
Response Time
Average application response latency under normal load.
No information available
Data Archival Capacity
Volume of data archived and retrievable for regulatory retention.
No information available
Geographic Load Distribution
Option to distribute workload across global data centers.
No information available
On-demand Scalability
Scaling system resources up or down without disrupting operations.
Yes - has this feature
System resources scale up/down according to client demand without disruption.
Intuitive User Interface
Easy-to-navigate and logically designed screens and menus.
Yes - has this feature
Broadridge Regulatory Reporting emphasizes intuitive navigation for fast self-service reporting.
Customizable Dashboards
Allows users to personalize their reporting and compliance dashboards.
Yes - has this feature
Users can create and customize dashboards for compliance monitoring.
Guided Workflows
Provides step-by-step guidance through reporting tasks.
Yes - has this feature
Step-by-step user guidance available for major reporting workflows.
Accessibility Compliance
Supports accessibility features for users with disabilities.
No information available
In-app Help and Documentation
Embedded tips, tutorials, and documentation for user assistance.
Yes - has this feature
In-app tips and documentation are present for regulatory reporting.
Multi-language Support
Interface available in multiple languages.
No information available
Mobile Compatibility
Supports access and reporting from mobile devices.
Yes - has this feature
Mobile web access to regulatory reports mentioned by vendor.
Keyboard Shortcuts
Enables efficiency for power users with keyboard commands.
No information available
Bulk Actions
Allows users to perform operations on multiple records or reports at once.
Yes - has this feature
Bulk actions enabled for managing multiple records in compliance workflows.
Onboarding & Training Tools
Built-in wizards or modules to onboard new users with minimal friction.
No information available
Pre-built Analytical Reports
Out-of-the-box analytics dashboards for common compliance metrics.
Yes - has this feature
Pre-built analytical reports and dashboards provided for compliance performance.
Custom Analytics Designer
Allows creation of bespoke analytical and visualization reports.
Yes - has this feature
Custom analytics and visualization tools described.
Drill-down Analysis
Enables users to explore higher or lower levels of detail as desired.
Yes - has this feature
Drilldown analysis present within dashboards for detailed investigation.
Trend Analysis
Identifies and visualizes long-term trends in regulatory or compliance data.
Yes - has this feature
Trend analysis for regulatory and compliance activities is offered.
KPI Tracking
Tracks and visualizes key compliance and reporting performance indicators.
Yes - has this feature
KPI dashboards for compliance and reporting performance.
Data Export for Analytics
Exports raw or aggregated data for external analysis.
Yes - has this feature
Allows export of raw and aggregated data for additional analysis.
What-if Scenario Modeling
Simulates regulatory/reporting scenarios and their impact.
Yes - has this feature
What-if scenario modeling is mentioned for evaluating regulatory changes.
Dashboard Refresh Rate
Frequency at which analytics dashboards are updated.
No information available
Third-party BI Tool Integration
Connects to tools such as Tableau, PowerBI, or Qlik for advanced analytics.
Yes - has this feature
Can connect with popular BI tools (Tableau, PowerBI, Qlik) for extended analytics.
Forecasting/Prediction Capabilities
Leverages historical data to predict upcoming compliance issues.
No information available
24/7 Support Availability
Support team available round-the-clock for issue resolution.
Yes - has this feature
Broadridge offers 24/7 support for critical regulatory reporting clients.
Dedicated Account Manager
Provides a single point of contact at the vendor.
Yes - has this feature
Each client account is assigned a dedicated account manager.
SLA-based Issue Resolution
Guaranteed response and resolution times as per SLA.
Yes - has this feature
SLA-based response and issue resolution are available in commercial agreements.
Self-service Knowledge Base
Online resources for common troubleshooting and FAQs.
Yes - has this feature
Comprehensive online knowledge base for troubleshooting and FAQs.
Product Update Frequency
Average frequency of major product updates or patches.
No information available
Onsite/Remote Training Options
Comprehensive product training for users and administrators.
Yes - has this feature
Offers both onsite and remote training for user onboarding.
Custom SLAs
Can tailor SLAs to client-specific needs.
Yes - has this feature
Custom SLAs can be negotiated according to institution needs.
Third-party Audit Support
Assistance during regulatory or independent audits.
Yes - has this feature
Support for regulatory and third-party audits is included.
User Community and Forums
Access to peer support and shared best practices.
Yes - has this feature
Access to customer forums and user community for knowledge-sharing.
API Documentation and Developer Support
Comprehensive resources for integrating or extending the platform.
Yes - has this feature
Comprehensive API documentation and developer support for integrations available.
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