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Broadridge Fixed Income Resiliency Planning

Ensure operational resilience and continuity.

As an Institutional Fixed Income trading provider serving 19 of the 25 primary dealers and more than 40 regional and global fixed income institutions, Broadridge processes trillions of dollars per day through our post-trade lifecycle solutions – this makes us an integral part of the world’s financial market infrastructure. As a critical contributor to today’s global markets, we actively deliver solutions to our clients that ensure their operations and straight through trade processing will continue in case of a potential outage or disruption.


Mitigate the Risk of Disruptions: Client Front-End to Impact Resiliency

Broadridge is a provider of technology-driven solutions to the financial services industry, and our clients leverage our post-trade processing solutions to optimise their straight through trade processing from their front-end systems to our Fixed Income Post-Trade Processing Engine platform, impactSM. To support this activity, a message queue (MQ) is established between clients’ front-end systems and impactSM to submit daily buy/sell, finance, and tri-party activity; if this MQ is disrupted our network and production support teams coordinate with clients to bring the link back on-line. Our impact resiliency enhancements enable authorised client users to manually load trades into the system while emergency support teams simultaneously troubleshoot the issue.

Benefits and Key Features

impactSM Resiliency:

  • Mitigates events that affect trading and critical back office operational processes.
  • Reduces settlement risk and daylight overdraft charges by allowing deliveries to be made from impactSM to BNY through a secondary file submission process.
  • Allows continuation of tri-party deal submission and matching at BNY.
  • Increases operational efficiencies through the new Upload Dashboard (UPDB), which allows outright, finance and tri-party trades to be bulk created in impactSM.
  • Simplifies exception management and allows users to download transaction status through UPDB in impactSM.

Enable a Reliable Contigency Plan for Business-Critical Operations: Impacts to BNY Mellon Resiliency

In the unlikely scenario a disruption does occur between impactSM and BNY Mellon, our BNY Resiliency functionality provides a contingency process for clients if the primary message queues are disrupted – this functionality has the capability to write settlement messages directly to an input file compliant with the BNY bulk input interface requirements. The files can be generated on demand and transmitted to BNY via NDM or manually loaded by an authorised user. Additionally, impactSM can create a separate file containing tri-party deals to submit to AccessEdge. This file can also be transmitted either via NDM or manually loaded by an authorised user.

For additional information, please contact your Broadridge Account Manager or visit our website.

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+1 800 353 0103North America
+65 6438 1144APAC