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Financial Services
Expert solutions for financial services for over five decades
Corporations
Streamline securityholder communications and management
- Corporate Issuer
  Corporate Treasury
  - Increase efficiencies in managing cash and risk
  Others
Telecom
Attract, engage and retain customers by creating dynamic experiences
Utilities
Deliver exceptional experiences across communication channels
All Products
Transform your business with communications, technology, data and analytics solutions
search-all-product
- Account Charges, Compensation and Performance Reporting
- Account Statements
- Advisor Compensation
- - Advisor Content Communication Platform
    - For Independent Advisor Solutions
    - For Wealth Management Firms
- Advisor Desktop Solutions
- - Advisor Resource Centre
    - For Independent Advisor Solutions
    - For Wealth Management Firms
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    - For Capital Markets
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- Depository Trust & Clearing Corporation (DTCC) SFT Equity Clearing Service
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- - Digital Document Delivery
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- - Digital Experience Management
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- Distributed Ledger Repo (DLR)
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- - EDGARForms
    - For Corporate Issuer
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- Enhanced Packaging
- Enhanced Proxy Design
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- European Fund Market Intelligence
- - Expense Management and Fee Validation
    - For Global Investment Managers
    - For Institutional Investors
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- Financial Reporting
- - Financial Statement and MRFP Delivery Solution
    - For ETF Providers
    - For Global Investment Managers
- - Fixed Income Trade Processing
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- Fully Paid Lending
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    - For Retail Banking
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- Rapid Onboarding
- - Reconciliation
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- - Reference Data Business Process Outsourcing
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- - Reference Data Management
- Regulatory Trade and Transaction Reporting
- Revenue and Expense Management
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- Risk and Transparency Reporting
- Sales and Asset Reporting
- - Securities Finance
- Securities-Based Lending in the Cloud
- Securityholder Data Services and Advanced Analytics
- Share Management Solution
- Shareholder Meeting Registration
- Statements, Confirmations and Tax Reporting
- Tax Solutions
- - Virtual Shareholder Meeting
    - For Corporate Issuer
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- W.insurance
- Web Hosting and Document Conversion
- Winfund Digital Dealership
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Financial Services
Expert solutions for financial services for over five decades
Corporations
Streamline securityholder communications and management
- Corporate Treasury
- Increase efficiencies in managing cash and risk
Telecom
Attract, engage and retain customers by creating dynamic experiences
Utilities
Deliver exceptional experiences across communication channels
All Products
Transform your business with communications, technology, data and analytics solutions
search-all-product
- Account Charges, Compensation and Performance Reporting
- Account Statements
- Advisor Compensation
- - Advisor Content Communication Platform
    - For Independent Advisor Solutions
    - For Wealth Management Firms
- Advisor Desktop Solutions
- - Advisor Resource Centre
    - For Independent Advisor Solutions
    - For Wealth Management Firms
- - Advisor Websites
    - For Independent Advisor Solutions
    - For Wealth Management Firms
- - Annual Compliance
    - For Corporate Issuer
    - For Law Firms
- - Asset Servicing
    - For Capital Markets
    - For Capital Markets
- Automated Publishing for Fund Reporting
- - Bank Debt and Loan Trading
- Banking Book Collateral Management
- - Beneficial Proxy Services
    - For Law Firms
    - For Wealth Management Firms
- - Billing and Expense Management
- Broadridge Funds Transfer Agency Solution
- - Capital Markets Disclosures
    - For Corporate Issuer
    - For Law Firms
- - Cash Management
    - For Capital Markets
    - For Capital Markets
- Client Portal
- - Collateral Management
- Communication Cloud
- - Compliance and Regulatory Accounting Business Process Outsourcing
    - For Capital Markets
    - For Wealth Management Firms
- Compliance Reporting
- - Connectivity
    - For Capital Markets
    - For Wealth Management Firms
- Consent Collection and Preference Management
- - Consumer Preference and Profile Management
- Content Design and Management
- - Control Solutions
    - For Capital Markets
    - For Capital Markets
- Corporate Action Services
- - Credit and Market Risk
- Custody Expense Management
- Customer and Advisor Mailbox
- - Customer Communications
- Data Aggregation and Financial Reporting
- - Data Management and Archival
- - Data Management, Analytics and Reporting
- Data Management, Warehouse and Reporting
- Depository Trust & Clearing Corporation (DTCC) SFT Equity Clearing Service
- - Derivatives Trade Processing
    - For Capital Markets
    - For Wealth Management Firms
- - Digital Delivery
- - Digital Document Delivery
    - For ETF Providers
    - For Institutional Investors
- - Digital Experience Management
- Digital Information Onboarding
- Digital Marketing Campaigns
- - Direct Marketing
- Distributed Ledger Repo (DLR)
- - Document Composition
- Document Fulfilment
- - EDGARForms
    - For Corporate Issuer
    - For Law Firms
- End-to-end Securities-Based Lending
- Enhanced Packaging
- Enhanced Proxy Design
- - Equity Trade Processing
    - For Capital Markets
    - For Wealth Management Firms
- European Fund Market Intelligence
- - Expense Management and Fee Validation
    - For Global Investment Managers
    - For Institutional Investors
- - Expense Management Business Process Outsourcing
    - For Capital Markets
    - For Wealth Management Firms
- Financial Reporting
- - Financial Statement and MRFP Delivery Solution
    - For ETF Providers
    - For Global Investment Managers
- - Fixed Income Trade Processing
    - For Capital Markets
    - For Wealth Management Firms
- - Foreign Exchange Trade Processing
    - For Capital Markets
    - For Wealth Management Firms
- Fully Paid Lending
- Fund Budgeting and Accruals
- - Global Post Trade Management
    - For Capital Markets
    - For Wealth Management Firms
- - Global Securities Class Action
    - For ETF Providers
    - For Wealth Management Firms
- Global Securities Class Action Services
- - Global SWIFT Services
- Global Tax Reclaim and State Tax Reporting
- Institutional Market Intelligence
- Intermediary Fee Management
- - Intraday Risk Monitoring
    - For Alternative Managers
    - For Global Investment Managers
- - Investment Accounting
- - Managed Services, Hosting and Integration
- Market Analytics
- Mobile App
- North American Post-Trade Business Process Outsourcing
- - Operational Risk Management
- Performance Analytics
- - Performance and Attribution
- - Performance Dashboards and Operational Reports
- Point-of-Sale Prospectus
- - Portfolio and Order Management
- Portfolio Management for CLO’s
- Portfolio Management for Private Debt
- - Portfolio Securities Voting
- - Post Trade and Regulatory Compliance
    - For Alternative Managers
    - For Global Investment Managers
- Post-Trade Business Process Outsourcing
- - Pricing and Valuation
- - Print Delivery
- - Print Solutions
    - For Corporate Issuer
    - For Law Firms
- Private Fund Compliance Reporting
- - Professional Services
    - For Capital Markets
    - For Wealth Management Firms
- Proxy Distribution Solutions
- - Proxy Management
- - Proxy Services
- ProxyVote™
- R•Broker
- R•Desktop
- - R•Digital
- - R•Funds
    - For Retail Banking
    - For Wealth Management Firms
- R•Term
- R•Wealth
- - R•Wholesale Term
    - For Retail Banking
    - For Wealth Management Firms
- Rapid Onboarding
- - Reconciliation
- - Reconciliation Business Process Outsourcing
    - For Capital Markets
    - For Wealth Management Firms
- - Reference Data Business Process Outsourcing
    - For Capital Markets
    - For Wealth Management Firms
- - Reference Data Management
- Regulatory Trade and Transaction Reporting
- Revenue and Expense Management
- - Revenue Management and Fee Billing
- Risk and Transparency Reporting
- Sales and Asset Reporting
- - Securities Finance
- Securities-Based Lending in the Cloud
- Securityholder Data Services and Advanced Analytics
- Share Management Solution
- Shareholder Meeting Registration
- Statements, Confirmations and Tax Reporting
- Tax Solutions
- - Virtual Shareholder Meeting
    - For Corporate Issuer
    - For Law Firms
- W.insurance
- Web Hosting and Document Conversion
- Winfund Digital Dealership
- Winfund W.investment
Consulting Services
Providing you with actionable insight and proven execution

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Private Fund Compliance Reporting

Simplify complex quarterly private fund filings

Data source agnostic data management and compliance reporting for Form PF, AIFMD, CPO-PQR, Annex IV, OPERA, Form ADV, FATCA, CRS and 13F reporting.

Streamline and automate regulatory reports

Automated and repeatable workflows for regulatory reports including Form PF, AIFMD, CPO-PQR, Annex IV, OPERA, Form ADV, FATCA, CRS and 13F. Allows you to focus your attention on validation and analysis.

Smart Data Loading and Mapping

Automated Calculations

Data Drill Down and Audit

Test Filing and E-filing

CCO Portal

Cloud Based, Modular Solution

A simple, five-step process

Transform raw data into regulatory reports.

Automate with confidence

Automated, repeatable workflows free you to focus your attention where it counts—on validation and analysis. Designed for flexibility and reliability, Private Fund Compliance Reporting makes it easy to import new files from their original source (without strict formatting requirements), update existing import files, or modify import mapping as requirements change without IT support.

Intelligent Data Management

Import, aggregate and normalize data
Intuitive data mapping
Data status dashboards
Normalized database reports

Clear Filing Review and Visualization

Data drill-downs
Formula and instruction pop-ups
Audit trail
Compare filings
XML validations

Secure Collaboration

Role based access to funds, data and/or filings
Assign read-only, read-write or administrative (with approval) privileges
Review and approve status dashboards
Automated reminder and status notifications

Comprehensive CCO Portal Compliance Management

Bird’s eye calendar and checklist views
Document management for more efficient organization and audits
Post and access templates utilized to complete a task
Set automated e-mail notifications to alert users to upcoming due dates
Annual review, governance and exception reporting

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How We Can Help

Get a handle on increasing regulatory costs

35%

Firms that believe they are underprepared for the regulatory environment.

75%

Fund managers citing regulatory compliance as the cause of declining margins.

85%

Fund managers that have seen their people costs increase.

“Regulatory reporting is a notorious struggle across the asset management industry, and Broadridge Private Fund Compliance Reporting helps our clients meet their current requirements.”

Eric Bernstein

President, Broadridge Asset Management Solutions

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Private Debt

Manage risk and optimize operational efficiency

Private debt managers count on Broadridge for the infrastructure they need to maximize investment returns and grow their businesses.

Collateral Management

Managed Services, Hosting and Integration

Private Fund Compliance Reporting

Reconciliation

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Broadridge, a global Fintech leader with
over $4.5 billion in revenues, helps clients get ahead of today’s challenges to capitalize on what’s next with communications, technology, data and intelligence solutions that help transform their businesses.

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Asset Management Capital Markets Consumer Finance Corporations Healthcare Insurance Retail Banking Telecom Utilities Wealth Management

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Advisor Content Communication Platform

Advisor Resource Centre

Advisor Websites

Annual Compliance

Asset Servicing

Bank Debt and Loan Trading

Beneficial Proxy Services

Billing and Expense Management

Capital Markets Disclosures

Cash Management

Collateral Management

Compliance and Regulatory Accounting Business Process Outsourcing

Connectivity

Consumer Preference and Profile Management

Control Solutions

Credit and Market Risk

Customer Communications

Data Management and Archival

Data Management, Analytics and Reporting

Derivatives Trade Processing

Digital Delivery

Digital Document Delivery

Digital Experience Management

Direct Marketing

Document Composition

EDGARForms

Equity Trade Processing

Expense Management and Fee Validation

Expense Management Business Process Outsourcing

Financial Statement and MRFP Delivery Solution

Fixed Income Trade Processing

Foreign Exchange Trade Processing

Global Post Trade Management

Global Securities Class Action

Global SWIFT Services

Intraday Risk Monitoring

Investment Accounting

Managed Services, Hosting and Integration

Operational Risk Management

Performance and Attribution

Performance Dashboards and Operational Reports

Portfolio and Order Management

Portfolio Securities Voting

Post Trade and Regulatory Compliance

Pricing and Valuation

Print Delivery

Print Solutions

Professional Services

Proxy Management

Proxy Services

R•Digital

R•Funds

R•Wholesale Term

Reconciliation

Reconciliation Business Process Outsourcing

Reference Data Business Process Outsourcing

Reference Data Management

Revenue Management and Fee Billing

Securities Finance

Virtual Shareholder Meeting

Segment Title

Solution Title

The right insights, right now

About Broadridge

How can we help?

Talk to us

Thank You for reaching out to us.

Private Fund Compliance Reporting

Simplify complex quarterly private fund filings

Streamline and automate regulatory reports

Automated and repeatable workflows for regulatory reports including Form PF, AIFMD, CPO-PQR, Annex IV, OPERA, Form ADV, FATCA, CRS and 13F. Allows you to focus your attention on validation and analysis.

Transform raw data into regulatory reports.

Get a handle on increasing regulatory costs

Let’s talk aboutwhat’s next for you

Thank You for submission

Let’s talk about
what’s next for you