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Amid this period of ongoing change, with the potential for continued market volatility, Broadridge stands ready to help you navigate what’s next. Our highest priorities are keeping our associates safe and ensuring our ability to serve our clients. View resources.

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Intermediary Compliance Manager

A proven solution for intermediaries to manage compliance related activities.

Intermediary Compliance Manager

Intermediary Compliance Manager was created to provide intermediaries with the ability to manage compliance related activity. Trading activity is collected nightly from multiple platforms allowing daily trade monitoring and request fulfillment. Data requests received from fund partners are automatically reviewed and fulfilled by the system. Analytical tools are provided to monitor shareholder account trading activity to detect trading exceptions and identify shareholders engaged in market timing and other types of short-term transactions. Restrictions requested by funds or resulting from internal monitoring can be managed from within the module.