Compliance
Maintaining compliance records can be a costly and resource-intensive task. You need solutions that are easy to archive and easy to retrieve – for your own monitoring and for SRO audits.
Why not shift the administrative burden of record-keeping to Broadridge's SIS? Our reports help you monitor your compliance activities so you can spend more time servicing your customers and growing your business.
Broadridge's SIS system can assist your Compliance department with:
- Complete Customer Suitability Profiling (with edit checks and override reporting)
- Daily and Monthly Surveillance Reports
- Account and Rep Turnover Reports (with user-defined dollar and percentage parameters)
- Account and Rep Concentration Reports
- SEC Rule 15c3-3 Analysis and Reports
- INSITE, OATS, MSRB, and TRACE Reporting
- Blue Sheets
- NYSE and AMEX Member Required Reports
- NASD Trading Activity Fee Analysis and Reports
- and much more....
Mutual Fund Compliance
Breakpoints - Broadridge's SIS system includes a number of features to help you track mutual fund orders that are at or near a breakpoint, including automated ROA account linking, real-time breakpoint pricing edits, customizable order cutoff times, and numerous auditing reports.
Market Timing - Potential market timing activity can be tracked with online tools and reports. You can set a specific time period to check for possible market timing violations, then if a sell or exchange is entered that corresponds with a buy during the time period, a warning edit is displayed. The transaction is also displayed on a Possible Market Timer Report.
USA PATRIOT Act
We provide a low-cost, flexible solution to help your firm comply with the customer identification and anti-money laundering provisions of the USA PATRIOT Act. All functionality is seamlessly integrated with our real-time Brokerage Accounting System (BAS). No outside vendor is necessary, resulting in lower costs for your firm. See the USA PATRIOT Act Compliance brochure for more information.
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