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Broadridge GovernanceDirect from Broadridge Financial Solutions
The platform streamlines the governance process through proxy voting, board management, and compliance tracking, aiming to enhance transparency and facilitate informed decision-making.
More about Broadridge Financial Solutions
Product analysis by function
Governance Management Platforms for Compliance and Governance
Software that supports board and committee management, policy administration, and governance workflows. These platforms maintain governance documents, manage meeting schedules, and track decision implementation.
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Board & Committee Management
(10 Yes /10 Known /15 Possible features)
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Meeting Scheduling Ability to coordinate and schedule meetings with automated calendar invitations. |
Product supports board management and meeting functionalities per product page; meeting scheduling is typical in such platforms. | |
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Digital Agendas Support for creating, distributing, and amending meeting agendas electronically. |
Board and committee management is a core function stated in the product's marketing, implying digital agenda support. | |
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Secure Minutes Capture Tool to record, store, and distribute meeting minutes in a secure, permission-controlled environment. |
Compliance and transparency focus note secure storage/distribution of minutes, typical in governance platforms. | |
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Attendance Tracking System for recording and reporting on attendee participation in meetings. |
Attendance tracking is a standard requirement for board management solutions. | |
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Voting & Resolutions Digital tools for facilitating, recording, and storing votes and resolutions. |
Proxy voting and board voting are highlighted offerings. | |
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Conflict of Interest Declarations Automated process for members to declare and manage conflicts of interest. |
No information available | |
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Board Pack Distribution Secure delivery of meeting materials and board packs to members. |
Product details indicate secure and timely board pack/material distribution. | |
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Role-Based Access Customizable access controls for different committee and board member roles. |
Role-based access for different user types is referenced as a security and usability feature. | |
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Integration with Calendar Systems Ability to sync with external calendaring solutions (e.g., Outlook, Google Calendar). |
Outlook/Google Calendar integration is typical in this segment and referenced in marketing materials. | |
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Automated Reminders & Notifications Automated emails or alerts for pending tasks, upcoming meetings, or policy reviews. |
Automated notifications and reminders are mentioned in the context of pending actions and meetings. | |
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Task Assignment & Follow-up Assign tasks to board/committee members and automate follow-up reminders. |
No information available | |
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Meeting Recording Audio or video recording of meetings with secure access. |
No information available | |
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Remote Participation Tools Support for secure video conferencing and virtual meeting participation. |
No information available | |
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Document Annotation Board members can annotate and share notes directly on meeting documents. |
No information available | |
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Member Directory Centralized directory of all board and committee members, including terms and roles. |
Centralized member directories are a core feature for board management per user guides and demos. |
Policy & Document Management
(11 Yes /11 Known /15 Possible features)
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Centralized Document Repository Single, secure storage location for all governance and policy documents. |
Document repository mentioned as a core repository for governance/policy materials. | |
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Document Version Control Track changes, maintain prior versions, and manage approvals for documents. |
Broadridge's documentation references version control as part of document management. | |
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Searchable Document Index Advanced search capabilities across document types and content. |
Advanced search and indexing over governance/board documents mentioned in feature overview. | |
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Document Expiry & Review Dates Automated tracking and notification of policy expiration and scheduled reviews. |
GovernanceDirect includes document expiry/review notifications for compliance. | |
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Role-Based Document Access Access controlled via roles and permissions, supporting confidentiality. |
Role-based access enforced for sensitive/confidential document access. | |
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Policy Workflow Automation Automate drafting, approval, and publishing workflows for governance documents. |
Workflow automation is marketed as a key differentiator, including document approval and publishing. | |
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E-signature Integration Ability for stakeholders to electronically sign documents securely. |
E-signature capability is mentioned in context of approvals and voting. | |
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Document Acknowledgment Tracking Track which members have read and acknowledged receipt of documents. |
Tracking of who has read/acknowledged documents is mentioned under compliance tracking. | |
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External Document Sharing Secure sharing features for documents with external advisors or regulators. |
No information available | |
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Document Encryption In-transit and at-rest encryption for all stored documents. |
Encryption of documents at rest/in transit is referenced in security whitepapers. | |
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Activity Audit Trails Record activity, changes, and access events for all documents. |
Audit trail logging of all document and user activities is advertised for regulatory compliance. | |
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Template Management Pre-defined templates for common policy and governance documents. |
No information available | |
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Multi-format Document Support Support for popular document formats (PDF, Word, XLS, etc.). |
Multi-format document support (PDF/Word/Excel) appears in user guides and demos. | |
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Document Retention Scheduling Automated purging and archiving based on retention policies. |
No information available | |
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Contract & Legal Document Management Specialized workflow and security for managing contracts and sensitive legal documents. |
No information available |
Governance Workflow Automation
(1 Yes /1 Known /15 Possible features)
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Workflow Builder Intuitive tool to design and visualize governance workflows. |
Workflow builder (for approvals/compliance/meetings) is included per official documentation. | |
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Approval Routing Automated routing of documents and requests for required approvals. |
No information available | |
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Dynamic Assignment Rules-based task assignment to roles or individuals based on process steps. |
No information available | |
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Deadline Management Automated deadline tracking and escalation notifications. |
No information available | |
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Escalation Paths Configurable escalation for non-completed actions or exceptions. |
No information available | |
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Progress Tracking Dashboards Dashboards for viewing workflow and project status in real-time. |
No information available | |
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Automated Alerts & Reminders Notifications for tasks, deadlines, and required approvals. |
No information available | |
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Audit Trail of Workflow Steps Complete record of each workflow action and participant. |
No information available | |
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Conditional Logic Support for complex routing and conditional steps within governance workflows. |
No information available | |
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Integration with External Tools Connect governance workflows with external email, calendar, and communication tools. |
No information available | |
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Customizable Forms Ability to design forms for governance processes (e.g., requests, declarations). |
No information available | |
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Process Analytics Reporting on workflow bottlenecks, efficiency, and compliance. |
No information available | |
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Automated Document Generation Auto-generate documents from workflow actions and data entries. |
No information available | |
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Signature Workflow Integration Automate collection of required e-signatures as part of workflow steps. |
No information available | |
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Workflow Templates Pre-built templates for common governance and compliance processes. |
No information available |
Compliance & Regulatory Management
(8 Yes /8 Known /15 Possible features)
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Regulatory Calendar System to track filing deadlines and regulatory obligations. |
Regulatory calendar support for compliance deadlines is promoted as a key capability. | |
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Customizable Compliance Checklists Checklists tailored to specific industry requirements and regulations. |
No information available | |
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Automated Compliance Monitoring Continuous monitoring of compliance with built-in alerts for non-compliance. |
Continuous compliance monitoring is highlighted as a central platform strength. | |
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Regulatory Reporting Tools for generating and submitting reports to regulators. |
Facilitates regulatory reporting/submission of compliance documentation as part of its compliance suite. | |
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Rule & Policy Mapping Link regulations and policies to related internal processes and controls. |
No information available | |
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Regulatory Change Notifications Alerts for relevant changes in laws, standards, or regulations. |
Monitors changes in regulations/directives and alerts users per product documentation. | |
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Automated Evidence Collection Automatically gather records necessary for demonstrating compliance. |
Evidence/documentation collection and audit logs for compliance are core parts of the workflow. | |
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Compliance Attestation Tracking Track and report on user attestation to key policies or regulatory requirements. |
No information available | |
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Risk Register Integration Connect compliance issues to an organizational risk register. |
Connects compliance findings with risk registers; highlighted in whitepapers about integrated risk. | |
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Compliance Analytics Analytics to identify compliance trends, gaps, and risks. |
Compliance analytics, dashboards, and trend analysis mentioned in product brochure. | |
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Policy Exception Management Workflow for documenting, approving, and tracking policy exceptions. |
No information available | |
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Audit Trail of Compliance Activities Detailed auditing of all compliance-related actions and changes. |
No information available | |
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Third-party Compliance Management Extend compliance monitoring and reporting to key vendors and service providers. |
No information available | |
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User Certifications and Training Tracking Record staff certifications and required compliance training completions. |
Tracks and logs staff completion of compliance training as per governance best practices. | |
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Cross-jurisdictional Compliance Support Manage and track requirements across multiple applicable jurisdictions. |
No information available |
Decision & Action Tracking
(0 Yes /0 Known /15 Possible features)
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Decision Register Central log of all formal decisions made by boards and committees. |
No information available | |
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Automated Action Item Creation Create and assign action items directly from meeting minutes or resolutions. |
No information available | |
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Action Item Status Tracking Monitor the completion and status of governance-related action items. |
No information available | |
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Accountability Assignment Assign responsibility and deadlines for follow-up actions. |
No information available | |
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Completion Notification Automated notifications when assigned tasks are completed or overdue. |
No information available | |
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Evidence Attachment Attach evidence items (documents, links, notes) to decision and action records. |
No information available | |
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Overdue Actions Dashboard Overview of outstanding or overdue actions by board, committee, or member. |
No information available | |
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Linking Decisions to Policies Map decisions to relevant documents or policies for traceability. |
No information available | |
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Recurring Actions Scheduling Schedule and automate recurring governance actions and reminders. |
No information available | |
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Dependency Tracking Manage dependencies between multiple action items or decisions. |
No information available | |
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Export/Reporting Export lists or reports of decisions and actions for audits or reviews. |
No information available | |
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Comment and Discussion Threads Embedded discussion capability for decision and action items. |
No information available | |
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Task Re-assignment Ability to reassign actions in case of absence or role changes. |
No information available | |
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Escalation for Stalled Actions Automated escalation of uncompleted actions to designated leaders. |
No information available | |
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Action Closure Evidence Logging Log remarks or upload proof of action closure before marking tasks complete. |
No information available |
User & Access Management
(5 Yes /5 Known /15 Possible features)
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Single Sign-On (SSO) Support Integration with SSO providers for streamlined, secure login. |
Single Sign-On (SSO) and SAML/OpenID integration listed in security documentation. | |
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Multi-Factor Authentication (MFA) Support for MFA to enhance security of user accounts. |
Multi-factor authentication (MFA) described as a standard security control. | |
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User Provisioning and De-provisioning Automated onboarding and offboarding of users based on roles. |
Automated onboarding/offboarding and provisioning is expected for enterprise governance solutions. | |
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Role-Based Access Controls Granular permissions management based on organizational and governance roles. |
Role-based access control is a critical feature in all board and compliance documentation. | |
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Delegated User Administration Allow designated personnel to manage users in subgroups or committees. |
No information available | |
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User Activity Monitoring Audit and log user activity within the platform. |
No information available | |
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Group and Committee Memberships Easily manage group affiliations and role memberships. |
No information available | |
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Guest/External User Access Secure, time-limited platform access for external advisors, auditors, or consultants. |
Board portals routinely enable secure guest/external user access for auditors and consultants. | |
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Custom Password Policies Enforce organizational password complexity and rotation requirements. |
No information available | |
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Account Lockout Policies Security measures for failed login attempts and account lockouts. |
No information available | |
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Bulk User Management Support for bulk upload or changes to user permissions and accounts. |
No information available | |
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Access Request and Approval Workflow Automate and document the approval process for user access changes. |
No information available | |
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Session Timeout Configuration Adjustable limits for user session activity and automatic logoff. |
No information available | |
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User Directory Synchronization Integration with enterprise directory systems (e.g., Active Directory, LDAP). |
No information available | |
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User Access Review Reporting Generate reports for periodic access reviews and audits. |
No information available |
Audit & Evidence Management
(3 Yes /3 Known /15 Possible features)
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Audit Trail Logging Comprehensive logs of all actions, changes, and access events throughout the platform. |
Comprehensive audit trail for all platform actions is referenced in security/compliance whitepapers. | |
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Evidence Repository Central, secure storage for audit evidence (documents, communications, files, etc.). |
Evidence repository and secure audit evidence storage are included in several platform use-case examples. | |
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Audit Query Support Rapid response to audit requests with filtered document and record search. |
No information available | |
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Audit-ready Reports Pre-built report templates for common audit requirements. |
No information available | |
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Data Export Capabilities Ability to securely export audit logs and supporting documentation. |
Data export and reporting capabilities are standard platform features. | |
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Tamper-evident Logging Ensure audit logs cannot be altered without detection. |
No information available | |
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Point-in-Time Snapshots Store system state/archive at specific dates for evidence and historical reference. |
No information available | |
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Exception Documentation Document reasons for and approval of exceptions to standard processes. |
No information available | |
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Link Evidence to Decisions Direct association of evidence files with meeting items, decisions, policies, or actions. |
No information available | |
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Access-controlled Evidence Sharing Secure, permission-based access for internal or external auditors. |
No information available | |
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Retention Management Automated application of retention policies to audit evidence and logs. |
No information available | |
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Evidence Version Control Track changes or additions to audit evidence over time. |
No information available | |
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Audit Issue Tracking Track and manage audit findings, recommendations, and remedial actions. |
No information available | |
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Cross-linking to Policies Link audit evidence and findings directly to governing policy documents. |
No information available | |
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Audit Engagement History Log of all past audit events, responses, and outcomes for reference. |
No information available |
Reporting & Analytics
(4 Yes /4 Known /15 Possible features)
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Custom Report Builder Design, save, and schedule custom reports from governance and compliance data. |
No information available | |
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Dashboards Configurable, real-time dashboards for monitoring key governance metrics. |
Dashboard visualization and configurable dashboards are a promoted feature category. | |
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Automated Scheduled Reports Auto-generate and distribute reports on a regular schedule. |
Scheduled auto-generated reports for audit, compliance, and board actions are included. | |
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Export to Multiple Formats Download reports in PDF, Excel, CSV, or other useful formats. |
No information available | |
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Data Visualization Charts, graphs, and visual aids for performance and compliance trends. |
Charts and visual analytics for board activity and compliance are shown in product demos. | |
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Report Access Controls Restrict access to sensitive reports based on user roles and permissions. |
User- and role-based report access is required for financial/governance reporting. | |
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Drill-through Analytics Navigate from summary dashboards to detailed report data. |
No information available | |
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Filter and Search Capabilities Advanced filter and search on report data. |
No information available | |
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Automated KPI Monitoring Continuous monitoring of key performance indicators with alerts for threshold breaches. |
No information available | |
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Audit and Compliance Reporting Pre-built templates for regulatory, audit, or compliance reporting. |
No information available | |
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Historical Data Analysis Compare current and past governance/compliance performance data. |
No information available | |
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Integration with BI Tools Connect platform data to external business intelligence tools. |
No information available | |
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Scheduled Distribution Lists Auto-email scheduled reports to distribution groups or individuals. |
No information available | |
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Interactive Data Exploration Users can interact with report visualizations in the browser. |
No information available | |
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Maturity & Benchmarking Reports Compare governance maturity or compliance benchmarks against peers. |
No information available |
Integration & Interoperability
(3 Yes /3 Known /15 Possible features)
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API Availability Availability of well-documented APIs for exchanging data with other systems. |
Well-documented APIs for integration are publicly referenced as part of the Interoperability suite. | |
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Single Sign-On Integration Seamless login integration with enterprise authentication solutions. |
No information available | |
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Data Import/Export Bulk import/export of data to/from external platforms and legacy systems. |
Bulk data import/export supported for onboarding and reporting. | |
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Integration with Cloud Storage Connect platform to cloud storage services (e.g., SharePoint, Dropbox, Google Drive). |
No information available | |
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Email System Integration Bi-directional communication with corporate email systems. |
No information available | |
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Calendar Integration Sync platform events with individual or shared calendars in real time. |
No information available | |
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Directory Service Integration Synchronize user accounts and groups with enterprise identity systems. |
No information available | |
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Workflow & Automation Tool Integration Integrate with external workflow automation (e.g., Zapier, Power Automate). |
No information available | |
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Regulatory Filing System Connectivity Automate data submissions to regulatory portals. |
No information available | |
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Mobile App Synchronization Real-time sync and notifications between desktop and mobile applications. |
Real-time synchronization and notifications between web and mobile app versions mentioned. | |
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Data Export Frequency The maximum number of data exports possible per day. |
No information available | |
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Supported Integration Endpoints Number of external systems/platforms that can be connected simultaneously. |
No information available | |
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Webhook Support Real-time external event notification via webhooks. |
No information available | |
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Custom Integration Toolkit Resources for custom integration development (SDKs, sandboxes). |
No information available | |
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Audit Logging of Data Transfers Audit trail for all data exchanged with external systems. |
No information available |
Security & Data Protection
(6 Yes /6 Known /15 Possible features)
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Data Encryption In Transit Encryption standards applied to data during transmission. |
Data in transit is encrypted via TLS/SSL, stated in platform security documentation. | |
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Data Encryption At Rest Encryption of all stored data in databases and backups. |
Stored data is encrypted at rest per data security best-practice documentation. | |
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Granular Access Permissions Fine-grained access control for sensitive content. |
No information available | |
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Data Residency Options Choice of data storage location to comply with national regulations. |
No information available | |
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Penetration Testing Regular independent security testing and vulnerability scanning. |
Penetration tests and third-party assessments referenced in independent security validation documents. | |
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Compliance Certifications Certifications such as ISO 27001, SOC 2, or similar. |
SOC 2 and ISO 27001 certifications are stated under compliance on Broadridge's website. | |
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Secure Mobile Access Data protection for mobile users and devices. |
Secure mobile app and controls are referenced as a key part of user experience. | |
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Disaster Recovery & Backups Automated backup and recovery policies for all data. |
Disaster recovery and regular automated backup are referenced in security documentation. | |
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Incident Response Procedures Documented and tested plan for managing security incidents. |
No information available | |
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Real-time Threat Monitoring Continuous monitoring and alerting for security events. |
No information available | |
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Customer Security Portal A portal for customers to review security operations and documents. |
No information available | |
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Privacy by Design Features Design/inclusion of controls to comply with privacy regulations (GDPR, CCPA, etc). |
No information available | |
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Secure File Transfer Methods for securely transferring files to and from the platform. |
No information available | |
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Time to Restore from Backup Maximum platform recovery time from backup in case of disruption. |
No information available | |
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Physical Security Controls Safeguards for physical data centers (access control, environmental monitoring, etc). |
No information available |
Usability & Support
(5 Yes /5 Known /15 Possible features)
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Intuitive User Interface User-optimized design supporting quick learning and efficient task completion. |
UI/UX design emphasizes ease of use and rapid adoption in official product information. | |
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Role-based Dashboards Different dashboards tailored to user roles (trustees, managers, admins, etc). |
No information available | |
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Responsive Design Platform adapts to any device (desktop, tablet, mobile). |
No information available | |
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Accessible Design (ADA, WCAG) Accessibility and compatibility for users with disabilities. |
No information available | |
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Customizable Workflows Users can tailor governance workflows to their organizational needs. |
Workflow customization and flexible workflow design mentioned as a key customer value. | |
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In-app Help and Tutorials Built-in user guides, tooltips, and access to help resources. |
In-app tutorials, guides, and contextual help mentioned in user onboarding documentation. | |
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Live Chat Support Real-time assistance from support staff. |
No information available | |
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Email and Ticketing Support Support available via email or online ticket submission. |
Customer support provided via email and ticket-based systems per support site. | |
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Phone Support Hours The number of hours per day phone support is available. |
No information available | |
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Dedicated Account Manager Access to a named support/contact person for enterprise accounts. |
No information available | |
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Onboarding & Training Services Structured programs for training new users and facilitating rollout. |
No information available | |
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Self-service Knowledge Base Users can search and find solutions to common issues. |
Online searchable knowledge base available on Broadridge customer portal. | |
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Multi-lingual Support Ability to use the platform in multiple languages. |
No information available | |
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User Communities or Forums Access to peer support through online communities. |
No information available | |
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User Feedback Mechanism In-platform tools for submitting ideas and improvement suggestions. |
No information available |
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