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Broadridge Securities Processing Solution from Broadridge Financial Solutions
Comprehensive post-trade processing platform that handles securities transaction processing, clearance and settlement, accounting, and recordkeeping. Offers real-time processing, multi-currency support, and seamless integration with front-office systems.
More about Broadridge Financial Solutions
Product analysis by function
Back-Office Processing Systems for Operations
Comprehensive platforms managing post-trade workflows, including confirmation, clearing, settlement, and reconciliation across different asset classes.
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Trade Capture and Validation
(0 Yes /0 Known /10 Possible features)
Multi-Asset Support
The system's ability to process and handle various asset types (equities, bonds, derivatives, etc.).
No information available
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Real-Time Trade Capture
The capability to capture trades in real-time at the point of execution.
No information available
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Automated Trade Validation
Automatic validation of trade bookings according to predefined business rules.
No information available
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Trade Enrichment
Enrichment of trades with reference data (e.g., counterparty details).
No information available
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Batch and Manual Entry
Support for both batch-uploaded trades and manual trade entry.
No information available
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Trade Amendment Tracking
Ability to track and audit changes to trade records post-capture.
No information available
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Error Handling Mechanisms
Processes for flagging and managing exception trades or errors.
No information available
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Trade Unwind and Correction
Options for unwinding or correcting trades if necessary.
No information available
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Throughput Capacity
Number of trades processed per second.
No information available
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Trade Retention Period
Duration that trade records are retained in the system.
No information available
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Settlements and Clearing
(0 Yes /0 Known /10 Possible features)
Settlement Instruction Generation
Automated creation of settlement instructions based on executed trades.
No information available
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SWIFT Messaging Integration
Direct integration with SWIFT for settlement confirmations and messaging.
No information available
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Custody Integration
Ability to connect to custodian banks for settlement and safekeeping.
No information available
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Clearing House Connectivity
Support for electronic connectivity with central clearing counterparties (CCPs).
No information available
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Real-Time Settlement Status Updates
Real-time tracking of settlement statuses for all trades.
No information available
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Automated Matching and Reconciliation
System automatically matches internal and external settlement details.
No information available
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Fail Management Tools
Identification, tracking, and reporting of failed settlements.
No information available
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Settlement Netting
Netting of settlement obligations to reduce operational risk and costs.
No information available
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Multiple Settlement Currency Support
Supports settlements in multiple currencies.
No information available
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Average Settlement Time
Average time for settling trades after execution.
No information available
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Reconciliation
(0 Yes /0 Known /10 Possible features)
Automated Cash Reconciliation
Matching of cash movements against trade and settlement records.
No information available
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Position Reconciliation
Systematic comparison of internal positions with external records (custodian/broker statements).
No information available
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Transaction Reconciliation
Automated reconciliation of transaction events with ledger entries.
No information available
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Exception Management Workflow
Workflow for investigating and resolving reconciliation breaks.
No information available
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Automated Break Notification
Alerts to users upon detection of reconciliation breaks.
No information available
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Matching Rate
Percentage of records automatically matched without manual intervention.
No information available
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Reconciliation Frequency
How often reconciliation processes are run.
No information available
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Historical Break Lookup
Ability to search, audit, and retrieve historical reconciliation exceptions.
No information available
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Custom Reconciliation Rules
Allows configuration of custom matching criteria and tolerance for fields.
No information available
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Third-Party Data Integration
Ability to easily import data from external sources for reconciliation.
No information available
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Corporate Actions Processing
(0 Yes /0 Known /10 Possible features)
Event Notification
Automatic alerts of upcoming or ongoing corporate actions events.
No information available
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Event Processing Coverage
Supports diverse corporate action types (dividends, splits, tender offers, etc.).
No information available
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Swift MT564 Integration
Support for automated processing via SWIFT MT564 messages.
No information available
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Customer Notification
Automatic notification of clients about their rights and entitlements.
No information available
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Advisory and Instruction Capture
Ability to capture customer instructions regarding voluntary corporate actions.
No information available
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Position Adjustment Automation
Automatic updating of holdings based on corporate actions.
No information available
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Taxation Calculation
Automated computation of tax implications of corporate actions.
No information available
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Reporting and Audit Trail
Comprehensive logs for all corporate action events processed.
No information available
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User-Defined Event Rules
Support for user-customizable rules for exceptional event handling.
No information available
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Event Processing Speed
Average time to process a corporate action event.
No information available
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Reference Data Management
(0 Yes /0 Known /10 Possible features)
Automated Reference Data Feeds
Integration with external vendors for data updates (e.g., instrument master, price feeds).
No information available
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Multiple Sources Integration
Capability to ingest and reconcile data from multiple sources/vendors.
No information available
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Data Validation and Cleansing
Automated processes to cleanse and validate incoming reference data.
No information available
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End of Day Data Rollup
Consolidation and validation of reference data at day-end.
No information available
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Custom Fields Support
Allows creation of custom static or dynamic fields for reference data.
No information available
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Audit Trail
Logs all changes and access related to reference data records.
No information available
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Bulk Data Upload
Import large data sets through batch files (CSV, XML, etc.).
No information available
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Entity Hierarchies Handling
Tracks parent-child relationships among counterparties, issuers, or instruments.
No information available
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Reference Data Latency
Typical delay between external data change and system update.
No information available
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Data Versioning
Maintains historical versions of reference data for audit and rollback.
No information available
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Regulatory and Compliance Management
(0 Yes /0 Known /10 Possible features)
Regulatory Reporting Automation
Automated creation and submission of required regulatory reports (MiFID II, CAT, etc.).
No information available
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Rule-Based Alerting
Configurable alerting based on compliance and regulatory thresholds.
No information available
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Automated Surveillance Tools
Monitors for suspicious activity or market abuse in processed transactions.
No information available
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Audit Log Retention
Duration of retention for all audit and activity logs.
No information available
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Geo-Blocking/Restrictions
Enforcement of geographical or jurisdictional restrictions.
No information available
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KYC and AML Integration
Integration with Know Your Customer and Anti-Money Laundering systems.
No information available
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Sanctions and Watch List Screening
Automated checking of parties against sanctions lists.
No information available
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Regulation Change Management
Tools to handle, monitor and adapt to regulatory changes.
No information available
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Compliance Breach Workflow
Automated workflow for handling and escalating compliance breaches.
No information available
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Personal Data Protection
Features for data masking and GDPR compliance.
No information available
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Reporting and Analytics
(0 Yes /0 Known /10 Possible features)
Standard Report Library
Provision of industry-standard reports (settlement, fails, positions, etc.).
No information available
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Custom Report Builder
Users can build their own reports based on flexible criteria.
No information available
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Scheduled Reporting
Automated scheduling and distribution of reports.
No information available
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Real-Time Analytics
Support for real-time dashboards and metrics.
No information available
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Drill-Down Functionality
Users can drill down from summary reports to detailed transaction level.
No information available
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Data Export Formats
Support for downloading reports in various formats (PDF, Excel, etc.).
No information available
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Ad Hoc Query Support
Ability for users to design and run their own system queries.
No information available
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Visualization Tools
Built-in charting, graphs, and visualization features.
No information available
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Report Generation Speed
Average time to generate a standard report.
No information available
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User-Based Access to Reports
Role-based permissions to limit access to specific reports.
No information available
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Client and Account Management
(0 Yes /0 Known /10 Possible features)
Account Opening Workflow
Guided workflow for onboarding new client accounts.
No information available
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Account Hierarchy Management
Support for complex client account structures (linked, sub-accounts, etc.).
No information available
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Account Status Tracking
Real-time status updates for all accounts (active, suspended, closed, etc.).
No information available
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Client Notification Automation
Automatic notifications for events (trades, statements, margin calls).
No information available
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Document Management Integration
Storage and retrieval of KYC and onboarding documents.
No information available
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Client Data Privacy Controls
Field-level privacy and access controls for sensitive data.
No information available
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Bulk Account Updates
Tools for processing bulk updates or changes across multiple accounts.
No information available
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Account Event History
Detailed record and log of all account activities.
No information available
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Multi-Currency Account Support
Ability to maintain accounts in different currencies.
No information available
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Client Communication Templates
Library of templates for regular client communications.
No information available
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Cash and Collateral Management
(0 Yes /0 Known /10 Possible features)
Real-Time Cash Position Monitoring
Dashboard for real-time cash balances across accounts and institutions.
No information available
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Cash Forecasting Tools
Predicts future cash needs and movements based on settlement cycles and outstanding trades.
No information available
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Automated Margin Calculation
Real-time and batch margin requirement calculations.
No information available
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Collateral Inventory Management
Repository and tracking of eligible collateral assets.
No information available
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Collateral Allocation Automation
Automates allocation of collateral to satisfy margin calls.
No information available
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Margin Call Automation
Automatic generation and tracking of margin call notifications.
No information available
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Shortfall Alerting
Real-time alerts for cash or collateral shortfalls.
No information available
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Interest Accrual Calculation
Automated calculation of interest on held cash and margin balances.
No information available
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Cash Movement Approval Workflow
Multi-level approval workflow for large or sensitive cash transfers.
No information available
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Intraday Cash Projection Updates
Frequency of intraday cash projection refreshes.
No information available
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Integration and Interoperability
(0 Yes /0 Known /10 Possible features)
API Availability
Exposure of well-documented APIs for data exchange and workflow integration.
No information available
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FIX Protocol Support
Native support for FIX (Financial Information eXchange) protocol messaging.
No information available
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Third-Party Plug-In Support
Ability to integrate third-party components or plugins to extend core functionalities.
No information available
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Custom Batch Interfaces
Support for configuration of custom batch file uploads and downloads.
No information available
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Real-Time Data Feeds
Ability to consume or publish real-time data feeds.
No information available
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Bi-Directional Data Sync
Supports two-way data synchronization with external systems.
No information available
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Web Services Integration
Support for REST/SOAP web services.
No information available
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Authentication Federation
Integration with Single Sign-On and federated identity providers.
No information available
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Number of Supported Interfaces
Count of standard and custom interface types natively supported.
No information available
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Latency of Interface
Average response time for real-time interfaces.
No information available
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Security and Access Control
(0 Yes /0 Known /10 Possible features)
Role-Based Access Control
Users are assigned roles with specific permissions to features and data.
No information available
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Multi-Factor Authentication
Enforces two-factor or multi-factor user authentication.
No information available
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Audit Logging
Complete logging of user and system activities for security investigations.
No information available
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Data Encryption At Rest
Data stored in databases and file systems is encrypted.
No information available
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Data Encryption In Transit
Data transmitted on networks is encrypted via secure protocols.
No information available
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User Session Timeout
Automatic logoff after a period of inactivity.
No information available
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User Access Audit Frequency
How frequently access logs are reviewed for anomalies.
No information available
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Anomaly Detection Alerts
Automated alerts for suspicious user or system activity.
No information available
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Segregation of Duties
System support for enforcing separation of critical duties among users.
No information available
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Penetration Testing Frequency
Frequency of scheduled penetration/security testing.
No information available
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