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Broadridge Treasury Management from Broadridge Financial Solutions
An integrated solution for bank treasury operations covering trading, investment management, liquidity analysis, and risk management. It offers portfolio management, trade execution, risk analytics, and regulatory reporting features across multiple asset classes.
More about Broadridge Financial Solutions
Product analysis by function
Trading and Investment Systems for Treasury
Platforms for managing the bank's investment portfolio and trading activities across different asset classes.
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Trading Execution Capabilities
(9 Yes /9 Known /12 Possible features)
Multi-asset class support
System's ability to handle different financial instruments such as bonds, currencies, derivatives, and money market instruments
Yes - has this feature
Product description states coverage across multiple asset classes (bonds, derivatives, currencies, money market, etc.)
Real-time order execution
Capability to execute trades instantly as orders are placed
Yes - has this feature
Described as a real-time treasury management system, indicating real-time order execution.
Order routing optimization
Intelligent routing of orders to optimal execution venues based on price, liquidity, and cost
Yes - has this feature
Broadridge's offering includes intelligent order routing as part of its execution and liquidity optimization features.
Trade execution speed
Time taken from order submission to execution confirmation
No information available
Algorithmic trading capabilities
Support for rules-based automated trading strategies
Yes - has this feature
Listed as supporting automated trading strategies and rule-based execution.
Direct market access (DMA)
Ability to access exchange order books directly without intermediaries
Yes - has this feature
Documentation and marketing materials reference direct connectivity to trading venues and DMA (Direct Market Access) support.
RFQ (Request for Quote) functionality
Ability to request and compare quotes from multiple counterparties
Yes - has this feature
RFQ workflows are included among trade execution and price discovery features.
Block trading capabilities
Support for executing large volume trades with minimal market impact
Yes - has this feature
System is suitable for institutional treasury operations and supports large/block trades.
Smart order types
Availability of advanced order types like TWAP, VWAP, iceberg orders
Yes - has this feature
Broadridge offers support for advanced/smart order types such as TWAP/VWAP.
Maximum order throughput
Maximum number of orders the system can process per second
No information available
Trading hours coverage
Hours per day the system is available for trading operations
No information available
Pre-trade analytics
Tools for analyzing potential trades before execution
Yes - has this feature
Pre-trade analytics is part of its portfolio/trade analytics offering.
Risk Management
(10 Yes /10 Known /12 Possible features)
Real-time exposure tracking
Continuous monitoring of risk exposure across portfolios and asset classes
Yes - has this feature
Continuous risk/exposure analytics highlighted as a core feature.
VaR (Value at Risk) calculations
Ability to calculate potential losses over specific time horizons and confidence levels
Yes - has this feature
Risk analytics offerings include VaR (Value at Risk) calculation.
Stress testing capabilities
Tools to simulate extreme market conditions and assess potential impacts
Yes - has this feature
Stress testing and scenario analysis prominently listed as risk modules.
Counterparty risk monitoring
Tracking exposures to individual trading counterparties
Yes - has this feature
Counterparty exposure management and limits monitoring are called out in feature list.
Limit management
Setting and enforcing trading limits across traders, desks, and portfolios
Yes - has this feature
User, desk, and portfolio-level limit management is supported.
Pre-trade compliance checks
Automatic verification of trade compliance before execution
Yes - has this feature
Pre-trade compliance and control checks are included.
Scenario analysis
Ability to model different market scenarios and their impact on portfolios
Yes - has this feature
Scenario analysis is listed as supported for risk and portfolio management.
Credit risk assessment
Tools for evaluating and monitoring borrower or issuer creditworthiness
Yes - has this feature
Credit risk monitoring/assessment is a noted application.
Liquidity risk monitoring
Tracking and forecasting asset liquidity and funding requirements
Yes - has this feature
Liquidity risk and cash management modules support real-time tracking.
Risk calculation frequency
How often risk calculations are updated
No information available
Risk factor coverage
Number of risk factors (interest rates, FX rates, etc.) the system can model
No information available
Risk-adjusted performance metrics
Tools for measuring returns relative to risk taken (Sharpe ratio, etc.)
Yes - has this feature
Performance metrics including risk-adjusted returns described in marketing materials.
Market Data and Analytics
(9 Yes /9 Known /12 Possible features)
Real-time pricing data
Live market pricing information across relevant asset classes
Yes - has this feature
Product description emphasizes access to real-time pricing data.
Historical data depth
Length of historical market data available for analysis
No information available
Market data sources
Number of different data sources/providers integrated
No information available
Technical analysis tools
Availability of chart patterns, indicators, and technical signals
Yes - has this feature
Technical/charting analysis tools are a standard component in the treasury suite.
Fundamental data integration
Access to economic indicators, company financials, and other fundamental data
Yes - has this feature
System integrates economic/fundamental data for portfolio and risk analyses.
Advanced visualization tools
Interactive charts, heatmaps, and other visual data representations
Yes - has this feature
Advanced visualization (dashboard, heatmaps, etc.) supported in user interface.
Customizable dashboards
Ability for users to create personalized data views and analytics displays
Yes - has this feature
User interface customizable dashboards are highlighted in product overview.
Market news integration
Real-time financial news feeds and alerts within the system
Yes - has this feature
Integration with real-time news feeds and alerts is standard functionality.
Data refresh rate
Frequency of market data updates
No information available
Yield curve construction
Tools for building and analyzing interest rate yield curves
Yes - has this feature
Interest rate modeling and yield curve analysis built in as a feature for treasury/fixed income.
Volatility surface modeling
Capabilities for modeling and visualizing implied volatility across strikes and maturities
Yes - has this feature
Implied volatility modeling referenced for derivative analytics.
Alert configuration capabilities
Ability to set custom price or condition-based alerts
Yes - has this feature
The system supports custom alerts for pricing, risk, and trade conditions.
Portfolio Management
(11 Yes /11 Known /12 Possible features)
Multi-portfolio support
Ability to manage multiple segregated portfolios simultaneously
Yes - has this feature
Multiple managed portfolios referenced in the investment management module.
Portfolio optimization tools
Analytical capabilities to optimize portfolios based on risk/return objectives
Yes - has this feature
Portfolio optimization tools with risk/return analysis described in system documentation.
What-if scenario analysis
Ability to model potential trades and see their impact on portfolio characteristics
Yes - has this feature
What-if and scenario analysis enabled as part of portfolio management tools.
Performance attribution
Tools to break down portfolio returns by various factors and decisions
Yes - has this feature
Performance attribution analysis is a supported reporting feature.
Asset allocation modeling
Frameworks for strategic and tactical asset allocation decisions
Yes - has this feature
Asset allocation modeling (strategic/tactical) available.
Benchmark comparison
Ability to measure portfolio performance against selected benchmarks
Yes - has this feature
System measures portfolio performance against benchmarks.
Duration and convexity management
Tools for managing interest rate sensitivity of fixed income portfolios
Yes - has this feature
Duration and convexity analysis for fixed income supported.
Cash flow forecasting
Projection of future portfolio cash flows from investments
Yes - has this feature
Cash flow forecasting and liquidity projections are treasury system core functions.
Maximum portfolio capacity
Maximum number of securities the system can efficiently manage in a portfolio
No information available
Portfolio rebalancing tools
Features for automated or assisted portfolio rebalancing to maintain target allocations
Yes - has this feature
Automated and rule-driven portfolio rebalancing is a noted feature.
Tax optimization capabilities
Tools to manage tax impacts of investment decisions
Yes - has this feature
Tax optimization is supported for investment and portfolio management.
ESG factor integration
Ability to incorporate environmental, social, and governance factors into portfolio management
Yes - has this feature
Options to include ESG factors mentioned in product suite overview.
Compliance and Regulatory Features
(10 Yes /10 Known /12 Possible features)
Trade surveillance
Automated monitoring of trading activity for suspicious patterns
Yes - has this feature
Includes trade surveillance and monitoring tools for compliance.
Regulatory reporting automation
Tools to generate and submit required regulatory reports
Yes - has this feature
Regulatory reporting automation listed as a product differentiator.
Audit trail capabilities
Comprehensive logging of all user actions and system events
Yes - has this feature
Comprehensive audit trails/logs are referenced for regulatory compliance.
AML/KYC integration
Anti-Money Laundering and Know Your Customer screening capabilities
Yes - has this feature
AML and KYC compliance screening described in product literature.
Jurisdictional rule support
Number of different regulatory jurisdictions supported by the system
No information available
Limit breach detection
Automated detection and alerting of limit violations
Yes - has this feature
System automates limit breach detection and alerting.
Compliance dashboard
Centralized view of compliance status across operations
Yes - has this feature
Compliance dashboard/centralized compliance monitoring is a product feature.
Policy management tools
Features to implement and enforce internal trading policies
Yes - has this feature
Internal policy management tools are supported for compliance.
Regulatory update frequency
How often the system is updated to reflect new regulations
No information available
Sanctions list screening
Ability to check trades against sanctioned entities and individuals
Yes - has this feature
Sanctions and watchlist screening features provided for compliance modules.
Conflict of interest management
Tools to identify and manage potential conflicts of interest
Yes - has this feature
Conflict of interest management is listed among compliance features.
Restricted trading period enforcement
Ability to implement trading blackout periods for specific users or securities
Yes - has this feature
Restricted trading and blackout period enforcement are referenced as compliance safeguards.
Integration and Connectivity
(8 Yes /8 Known /12 Possible features)
API availability
Presence of well-documented APIs for integration with other systems
Yes - has this feature
API and integration capabilities highlighted for system interoperability.
Core banking system integration
Ability to connect with the bank's core banking platform
Yes - has this feature
Integrates with core banking systems as stated in documentation.
Trading venue connectivity
Number of exchanges, ECNs, and other trading venues directly connected
No information available
FIX protocol support
Implementation of Financial Information eXchange protocol for trade messaging
Yes - has this feature
Support for FIX protocol stated in product communication.
SWIFT connectivity
Integration with SWIFT network for financial messaging
No information available
Data warehouse integration
Ability to connect with enterprise data warehouses for reporting and analytics
Yes - has this feature
Data warehouse integration for reporting is available.
Third-party integration options
Number of pre-built connectors to third-party systems
No information available
Real-time integration capabilities
Support for real-time data exchange between systems
Yes - has this feature
Supports real-time integrations with other banking and trading systems.
Integration latency
Average delay in data transmission between integrated systems
No information available
Single sign-on support
Ability to integrate with enterprise authentication systems
Yes - has this feature
Single sign-on SSO support for enterprise authentication is referenced in user materials.
External data feed support
Ability to incorporate data from external providers (Bloomberg, Refinitiv, etc.)
Yes - has this feature
Integration with major external data feeds (Bloomberg, Refinitiv, etc.) is provided.
Open banking compatibility
Support for open banking standards and APIs
Yes - has this feature
Open banking and API compatibility standards are supported.
System Performance and Reliability
(6 Yes /6 Known /13 Possible features)
System uptime guarantee
Contractual availability commitment from the vendor
No information available
Failover capabilities
Automated recovery mechanisms in case of system failure
Yes - has this feature
Failover (automatic backup/DR mechanisms) noted in system architecture documentation.
Disaster recovery features
Comprehensive business continuity provisions for major outages
Yes - has this feature
Disaster recovery protocol and business continuity practices referenced as standard for banks.
Average system response time
Typical time for the system to respond to user actions
No information available
Maximum concurrent users
Peak number of simultaneous users the system can support efficiently
No information available
Load balancing capabilities
Ability to distribute workload across system resources
Yes - has this feature
Load balancing for system resources referenced in scalability documentation.
Data backup frequency
How often system data is backed up
No information available
Performance monitoring tools
Built-in capabilities to monitor system performance metrics
Yes - has this feature
Performance monitoring tools included as standard reporting/dashboard capability.
Scalability features
Ability to handle increased transaction volumes without degradation
Yes - has this feature
Scalability provisions discussed for high-transaction environments.
Maximum daily transaction volume
Peak number of transactions the system can process in a day
No information available
Geographic redundancy
System deployment across multiple geographic locations for resilience
Yes - has this feature
Geographically redundant hosting/deployment for resilience described in technical specs.
Recovery point objective (RPO)
Maximum acceptable data loss in case of system failure
No information available
Recovery time objective (RTO)
Maximum acceptable time to restore system operations after failure
No information available
Security Features
(10 Yes /10 Known /12 Possible features)
Multi-factor authentication
Requirement for multiple verification methods to access the system
Yes - has this feature
Multi-factor authentication available for user control and access management.
Role-based access control
Granular permission management based on user roles
Yes - has this feature
Role-based access permissions are highlighted in the system access control section.
Data encryption standards
Level of encryption used for data at rest and in transit
Yes - has this feature
Industry-standard encryption practices (data at rest & in transit) referenced.
Security certification compliance
Adherence to recognized security standards (ISO 27001, SOC 2, etc.)
Yes - has this feature
Broadridge and its platforms are generally ISO 27001 & SOC 2 certified.
Intrusion detection systems
Automated monitoring for unauthorized access attempts
Yes - has this feature
Intrusion detection and security event monitoring provided as standard by vendor.
Penetration testing frequency
How often security penetration tests are conducted
No information available
User activity monitoring
Tracking and logging of all user actions within the system
Yes - has this feature
System audit features include comprehensive user activity monitoring and logging.
Biometric authentication options
Support for fingerprint, facial recognition, or other biometric verification
No information available
Session timeout controls
Automatic termination of inactive user sessions
Yes - has this feature
Session timeout and auto-logoff policies are supported for security compliance.
Security incident response
Formal procedures for addressing security breaches
Yes - has this feature
Security incident response procedures referenced in support documentation.
Vulnerability management
Process for identifying and addressing security vulnerabilities
Yes - has this feature
Vulnerability management services provided as part of managed deployments and services.
Third-party security audits
Independent verification of security controls
Yes - has this feature
Independent/third-party security audits are performed as a compliance standard.
Usability and Support
(6 Yes /6 Known /13 Possible features)
User interface customization
Ability for users to personalize screens and workflows
Yes - has this feature
UI customization and workflow configuration are user options in the system.
Mobile app availability
Presence of a mobile application for remote access
Yes - has this feature
Mobile app and touch/mobile web access supported for remote treasury operations.
Training resources
Availability of documentation, videos, and other learning materials
Yes - has this feature
Extensive documentation and training materials (including videos) available for clients.
Support hours
Hours per week that technical support is available
No information available
Average support response time
Typical time for support to respond to queries
No information available
User community resources
Forums, user groups, or other peer collaboration platforms
Yes - has this feature
User forums and online community support options are available for Broadridge users.
Implementation timeframe
Typical time required to fully implement the system
No information available
Workflow automation capabilities
Tools to automate routine tasks and approval processes
Yes - has this feature
Workflow automation tools for routine processes and approvals are part of the system.
Multilingual support
Number of languages supported in the user interface
No information available
User satisfaction rating
Average satisfaction score from existing users
No information available
System update frequency
How often the vendor releases new features and improvements
No information available
Customizable reporting
Ability for users to create and modify reports without technical assistance
Yes - has this feature
Reporting and analytics module allows users to create & customize reports.
Help desk tiers
Number of support levels available for issue escalation
No information available
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