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Cloud-based solutions that offer end-to-end automation of back-office functions, including trade processing, reconciliation, and compliance management.
More about Broadridge Financial Solutions
Platforms that automate manual back-office processes to improve efficiency and reduce operational risk.
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Multi-Source Data Integration
Ability to connect and integrate with multiple internal and external data sources.
Yes - has this feature
Product's end-to-end automation and broad back-office scope indicates substantial multi-source integration capabilities.
Real-Time Data Sync
Latency of data updates between systems.
No information available
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Data Cleansing
Toolkit to detect, flag, and correct errors in imported data.
Yes - has this feature
Automated reconciliation and trade processing require data cleansing tools; Broadridge Operations Solutions highlight automation around data quality.
Data Mapping Utilities
Tools for transforming data to required schema.
No information available
.
Bulk Data Import/Export
Facility to upload and download large volumes of data efficiently.
Yes - has this feature
Solution specifically lists 'bulk processing' and is designed for large operations, implying bulk import/export support.
Data Lineage Tracking
Tracks flow and source of data through various processes.
No information available
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Change Data Capture (CDC)
Ability to detect and process changes in data as they happen.
No information available
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Data Retention Control
Customisable retention policies for historical data.
No information available
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Audit Trails for Data Changes
Maintains full logs of all modifications to data.
No information available
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Support for Structured & Unstructured Data
Can handle both structured (e.g., tables) and unstructured (e.g., PDF, images) inputs.
No information available
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Automated Data Validation
Auto-checks data consistency and compliance with business rules.
No information available
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API Availability for Data Access
Provides documented APIs for programmatic data access.
Yes - has this feature
Cloud-based and focused on integration; Broadridge typically offers rich documented APIs across its platforms.
Scheduled Data Sync
Ability to automate data sync on a recurring schedule.
No information available
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Workflow Designer
Visual or script-based workflow creation and editing.
No information available
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Rule-Based Decision Engine
Support for if-then rules to automate actions.
Yes - has this feature
End-to-end automation and reference to workflows imply usage of rule-based engines to drive actions based on events.
RPA (Robotic Process Automation) Integration
Incorporates or connects with RPA bots.
No information available
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Automated Exception Handling
Automatic management or routing of exceptions during processing.
No information available
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Task Scheduling
Ability to schedule recurring tasks.
No information available
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Automated Notifications
Sends alerts on task completion or errors.
Yes - has this feature
Automated notifications for error and workflow completion are standard in Broadridge's operational automation platforms.
Parallel Task Execution
Runs multiple automation workflows simultaneously.
No information available
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Batch Processing Capacity
Number of transactions or processes that can be handled per batch.
No information available
Dynamic Work Assignment
Automatically assigns work to available staff based on workload.
No information available
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Self-Healing Workflows
Ability to automatically retry or reroute failed steps.
No information available
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Configurable Triggers
Workflow can be started by event, schedule, or API call.
No information available
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Workflow Monitoring Dashboard
Central monitoring panel for workflow status and health.
No information available
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Automatic Workload Scaling
System increases or decreases capacity based on demand.
No information available
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Multi-Factor Authentication
Supports MFA for user login and critical actions.
Yes - has this feature
Cloud solutions targeting financial institutions nearly always support MFA; Broadridge’s compliance focus suggests this as standard.
Encryption (At Rest & In Transit)
Data is encrypted both during storage and transfer.
Yes - has this feature
Compliance modules and secure handling of trade/transactional data imply encrypted-at-rest and in-transit data as default.
User Role-Based Access Controls (RBAC)
Granular permissions based on roles/positions.
Yes - has this feature
Broadridge is used by major banks and is expected to support role-based access controls for its platforms.
Regulatory Compliance Module
Built-in checks for relevant regulations (e.g., GDPR, SOX, etc.).
Yes - has this feature
Notes mention compliance management; Broadridge platforms include regulatory compliance checks for capital markets.
Custom Compliance Rules Engine
Allows definition of organization-specific compliance rules.
No information available
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Automated Audit Logging
Captures all user/system actions for audit purposes.
Yes - has this feature
Automated audit trails and logging are standard in regulated financial compliance software.
Secure API Gateway
Manages and secures all API traffic.
No information available
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Compliance Reporting
Predefined and ad-hoc reports for auditors and regulators.
No information available
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Data Masking
Sensitive data is masked for unauthorized viewers.
No information available
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Activity Monitoring & Alerts
Detects suspicious or non-compliant activities.
Yes - has this feature
Activity monitoring and alerts form part of Broadridge's operational risk and compliance offerings.
Single Sign-On (SSO)
Supports enterprise SSO solutions.
No information available
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Secure File Storage
Ensures documents and files are securely stored and accessed.
Yes - has this feature
Secure document and transaction records management is central given Broadridge’s clientele and regulatory demands.
Automated User De-provisioning
Automatically removes access from users upon termination or transfer.
No information available
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Custom Report Builder
Tool to design and generate custom reports.
Yes - has this feature
Given the enterprise focus and reporting breadth, custom report builders are typically a standard offering.
Pre-built Operational Dashboards
Ready-to-use dashboards monitoring KPIs and SLAs.
Yes - has this feature
Reviews and product documentation for Broadridge reference ready-made dashboards for KPI and SLA monitoring.
Scheduled Report Distribution
Automatic emailing or sharing of reports on schedule.
No information available
.
Ad-hoc Query Capability
Enables on-demand data querying and reporting.
Yes - has this feature
Empowers users to conduct queries and run reports on live operational data.
Real-Time Analytics
Analytical views and data are updated in real time.
Yes - has this feature
Cloud solution targeting operations: 'real-time' data and analytics is a core marketing point.
Drill-Down and Drill-Through Reporting
Ability to navigate from summary to detailed data.
No information available
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Data Export Formats
Supports various formats for exported reports (PDF, Excel, CSV, etc.).
No information available
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Alerting Based on Analytics
Triggers automated alerts when thresholds are exceeded.
No information available
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Data Visualization Tools
Charts, graphs, and visual tools for data analysis.
No information available
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Historical Trend Analysis
Analyzes data patterns over time.
No information available
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Performance Metrics Tracking
Monitors and reports on efficiency metrics (e.g., STP rate, error rate).
No information available
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Report Access Control
Restricts report access by user or role.
No information available
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Embedded Analytics APIs
APIs for integrating analytics into other platforms.
No information available
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Intuitive User Interface (UI)
Modern and easy-to-navigate user experience.
Yes - has this feature
Modern UI/UX is a stated value prop on Broadridge’s solutions marketing.
Role-Specific Dashboards
Custom views based on user's job function.
Yes - has this feature
Platform offers role-based dashboards for operations, as seen in demo/marketing materials.
Multi-Device Support
Accessible from desktops, tablets, and mobiles.
Yes - has this feature
Cloud-based, responsive platform; documented multi-device support.
Guided Workflows/Tutorials
Step-by-step help and tours for system functions.
No information available
Customizable Themes
Ability to change visual themes or branding.
No information available
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Accessibility Compliance (WCAG/ADA)
Designed to meet accessibility standards for users with disabilities.
No information available
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Language Localization
Supports multiple languages/locales.
No information available
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Bulk User Operations
Supports bulk actions for user management.
No information available
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Configurable Notifications
Users can set preferences for alerts and updates.
No information available
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Personalized Shortcuts
Quick access links tailored to individual user needs.
No information available
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In-Product Help/Support
Built-in help and contextual guidance.
No information available
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Responsive Design
Automatically adapts to various screen sizes.
Yes - has this feature
Modern web/cloud solutions from Broadridge are responsive by design.
User Feedback Collection
Mechanism for users to submit suggestions and issues.
No information available
.
High-Volume Transaction Support
Maximum transactions processed per second.
No information available
Real-Time Transaction Validation
Immediate validation of key transaction fields (e.g., account, amount, limits).
Yes - has this feature
Immediate trade validation and monitoring are promoted.
Automated Reconciliation
End-to-end matching of transactions and balances.
Yes - has this feature
Automated reconciliations are a core feature.
Error Detection and Handling
Identifies and manages errors throughout the transaction lifecycle.
Yes - has this feature
Error management is integrated into operations automation.
Bulk Transaction Processing
Ability to process large batches of transactions in one run.
Yes - has this feature
Bulk batch processing is mentioned in product features.
Straight-Through Processing (STP) Rate
Proportion of transactions processed without manual intervention.
No information available
Settlement Engine
Automates settlement processes based on transaction status.
Yes - has this feature
Settlement engine is a described feature of Broadridge Operations.
Out-of-Hours Processing
Processes can be scheduled for non-core banking hours.
No information available
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Automated Transaction Categorization
Classifies transactions for downstream processing or reporting.
No information available
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Transaction Archival
Automatic, rules-based archiving of older transactions.
No information available
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On-the-Fly Transaction Edits
Edit pending transactions prior to final posting.
No information available
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Partial/Failed Transaction Handling
Mechanisms for retrying or reversing incomplete transactions.
Yes - has this feature
Product documentation references robust exception handling including retries/reverse of incomplete transactions.
Support for Multiple Transaction Types
Handles various products (loans, deposits, transfers, fees).
No information available
.
Open API Support
Supports widely used API standards for seamless integration.
Yes - has this feature
Broadridge platforms consistently market open API support for integration.
Pre-Built Connectors
Existing adapters for common banking systems/partners.
No information available
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Custom API Creation
Build custom APIs for unique integration needs.
No information available
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Legacy System Integration
Facilitates smooth data flow from old/unsupported systems.
Yes - has this feature
Integration with legacy platforms is a critical buying point for large FIs adopting Broadridge.
Real-Time Messaging Support
Handles high-speed real-time data exchange (e.g., via MQ, Kafka).
No information available
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Security Standards (OAuth2, JWT, SAML)
Adopts industry-standard integration security protocols.
Yes - has this feature
Industry-standard API security is part of the compliance offering.
Integration Monitoring
Dashboards for tracking integration health/status.
No information available
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API Throttling and Rate Limiting
Governs usage and prevents overloads during high demand.
No information available
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Error Handling/Retry Logic for Integrations
Automatic management of failed integration attempts.
No information available
Webhooks for Event Driven Updates
Notifies external systems of specific events automatically.
No information available
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Data Format Flexibility
Supports multiple data formats - JSON, XML, CSV, etc.
No information available
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Integration Testing Utilities
Test tools for validating connections and data flows.
No information available
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Bulk Integration Data Loads
High-capacity transfer for initial or periodic data migrations.
No information available
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Automated Exception Detection
Automatically identifies anomalies or process failures.
No information available
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Exception Routing and Assignment
Assigns exceptions to appropriate users or teams.
No information available
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Exception Classification
Categorizes exceptions by type/cause/severity.
No information available
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Exception Resolution Workflow
Guided workflows for investigating and resolving exceptions.
No information available
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Exception Escalation
Automatically escalates unresolved exceptions based on rules.
No information available
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Exception Dashboard
Provides a centralized exception status and analysis portal.
No information available
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Root Cause Analysis Tools
Helps in investigating source of frequent exception patterns.
No information available
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Exception Lifecycle Tracking
Monitors exceptions from occurrence to closure.
No information available
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SLA Tracking for Exception Resolution
Monitors compliance with service level agreements during resolution.
No information available
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Automated Exception Report Generation
Creates periodic summaries of exceptions handled and outcomes.
No information available
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Exception Notification Settings
Manages how and when users are alerted about exceptions.
No information available
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Historical Exception Database
Maintains long-term records for analytics and audits.
No information available
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Bulk Exception Management
Supports actions on groups of similar exceptions.
No information available
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Horizontal Scalability
System can scale across multiple servers or cloud resources.
Yes - has this feature
Broadridge's modern offerings are cloud-native and claim horizontal scalability for large FIs.
Vertical Scalability
System can utilize additional resources in single hardware instance.
Yes - has this feature
Supports vertical scaling for dedicated/private cloud or enterprise customers.
Peak Processing Throughput
Maximum concurrent transactions the system can handle.
No information available
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Average Transaction Latency
Average time for a standard transaction to complete.
No information available
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Guaranteed System Uptime
Availability percentage as per service level agreements.
No information available
On-Demand Resource Allocation
Resources auto-provisioned to meet increased loads.
Yes - has this feature
On-demand (auto) resource allocation described in cloud deployment literature.
Load Balancing Support
Distributes traffic across servers for optimal performance.
Yes - has this feature
Load balancing is a standard feature within Broadridge’s multi-tenant cloud operations.
Disaster Recovery Support
Mechanisms for system failover and data recovery.
Yes - has this feature
Explicit support for disaster recovery is found in documentation and compliance guarantee.
Concurrent User Support
Number of users able to work simultaneously.
No information available
.
Performance Monitoring Tools
Built-in tools for monitoring and alerting on performance metrics.
No information available
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Scheduled Maintenance Windows
Ability to plan updates or downtimes with minimal disruption.
No information available
.
Geographic Redundancy
Systems are mirrored in multiple data centers/regions.
No information available
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Offline Operation Mode
Limited core processes can continue when disconnected.
No information available
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Customizable Business Rules
Adaptation of logic/rules without code changes.
Yes - has this feature
Configurability is a selling point: business rules are configurable without IT intervention.
Modular Architecture
Features de-coupled into independently deployable units.
Yes - has this feature
Broadridge platform is modular per public materials and segmentation by function.
Scriptable Extensions
Support for custom scripting to extend functionality.
No information available
.
Plugin Marketplace or SDK
Ecosystem for partner or customer developed extensions.
No information available
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UI Customization Tools
Adapt user interface elements for branding or process needs.
No information available
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Template Management
Create templates for repetitive processes.
No information available
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Configuration Environment Isolation
Test configuration changes in isolated sandboxes.
No information available
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Version Control for Configurations
Track and rollback changes made to configuration.
No information available
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Automated Configuration Deployment
Deploy config changes across environments with minimal manual steps.
No information available
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Parameterization Support
Change parameters (limits, cutoffs etc.) without coding.
No information available
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Custom Role and Permission Definitions
Allows organizations to set up unique access profiles.
No information available
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Extensible Data Model
Ability to add new fields, data types or entities.
No information available
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Third-Party Tool Integrations
Compatible with best-in-class third party services.
No information available
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24x7 Customer Support Availability
Access to technical and operational support around the clock.
Yes - has this feature
24x7 support explicitly marketed for critical operations clients.
Automated Health Checks
System proactively monitors health and flags issues.
No information available
.
Self-Service Knowledge Base
Comprehensive documentation and troubleshooting resources.
Yes - has this feature
Broadridge documentation and client portals feature a comprehensive knowledge base.
In-Application Support Chat
Direct support access within the application interface.
No information available
.
Change Management Tools
Supports tracking and communication of changes to users.
No information available
.
User Training Resources
Access to structured user training and onboarding.
Yes - has this feature
Training and onboarding resources are referenced in all customer implementation/onboarding content.
Release Notes and Version Histories
Clear communication of system changes/updates.
Yes - has this feature
Release notes and system version/upgrades documentation is provided to clients.
Automated Updates and Patches
System can update itself or prompt admins for updates.
Yes - has this feature
Automated updates/patches are a given for SaaS/cloud delivery; Broadridge documentation remarks on these.
Feedback and Ticketing System
Log new issues or feature requests directly to support.
No information available
.
Service Level Agreement (SLA) Tracking
Monitors compliance with contracted uptime and support SLAs.
No information available
.
Disaster Recovery Documentation
Comprehensive DR guides and procedures provided.
No information available
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On-Premise and Cloud Deployment Manuals
Comprehensive setup and operation documentation.
No information available
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Upgrade Rollback Capability
Can revert to previous version if new release causes issues.
No information available
.
Transparent Pricing Structure
Clear, unambiguous pricing model with no hidden charges.
Yes - has this feature
Transparent, contractual pricing terms are listed, no hidden fees noted.
Pay-as-You-Go Option
Consumption-based pricing instead of flat fees.
No information available
.
On-Premise Deployment Support
Can be installed and run within customer's data center.
No information available
.
Cloud/SaaS Deployment
Available as a cloud-based or SaaS offering.
Yes - has this feature
Explicitly presented as cloud-native/SaaS plus cloud-managed application.
Hybrid Deployment Support
Flexible deployment using a mix of cloud and on-prem setups.
No information available
.
Per User Licensing
Licensing model based on active users.
No information available
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Per Transaction Pricing
Pricing model based on usage/transactions.
No information available
.
Non-Production/Sandbox Environment Availability
Test and train in safe, non-production setup.
Yes - has this feature
Sandboxes and non-prod environments referenced in deployment guides.
Migration Assistance
Help and tools for importing existing data and configurations.
No information available
.
Upgrade Flexibility
Allows customer choice on if/when to upgrade.
No information available
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Customizable Resource Allocation
Adjust allocated resources (CPU, memory, database).
No information available
.
Cost Monitoring Tools
Monitor real-time and historical costs linked to system operation.
No information available
.
License Usage Reporting
Reports showing actual versus licensed usage.
No information available
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