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Compliance and Regulatory Accounting Managed Services

Stay compliant and ahead of accounting regulations

Meet your requirements for compliance and regulatory accounting with Broadridge's technology, operations and capital markets expertise. Our managed services will ensure that your firm stays up to date with ever-changing rules and regulations.

A powerful combination of leading technology, operations and expertise

From customer monitoring to year-end tax reporting, our managed services combine the leading technology and operations you need to stay compliant.

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Regulatory Accounting Support
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Accounts Payable and Receivable
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Regulatory and Management Reporting
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Fixed Asset Accounting
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Bank and G/L Reconciliations
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Risk and Compliance Services

Learn More About Our Compliance and Regulatory Accounting Services

Compliance Services

  • Blue sheet reporting, class actions, summons, subpoena, etc.
  • Employee Trades, Watch/Restricted list, OFAC and AML monitoring 
  • Agent and BD Registration processing, U4, U5, Form BD 
  • Regulatory Continuing Education monitoring and compliance disclosures 
  • Agent Registration, missing document and transaction violation monitoring

Regulatory Accounting and Reporting Services

  • Support Customer Protection Rule (15C3-3) including reserve computations
  • Support Focus Reports
  • General Ledger Accounting

Making Brokerage Operations More Efficient

Learn how brokerage firms are addressing challenges in the face of increased regulation.

How We Can Help

Benefit from our expertise and leading technology

Best Outsourcing Provider to the Sell Side in 2016 and 2017, according to Waters Technology.
Equity, options, fixed income and international settlements monthly.
Waters Technology names Broadridge Best Outsourcing Provider to the Sell Side 2016 and 2017.
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