Access the latest news, analysis and trends impacting your business.
Explore our insights by topic:
Additional Broadridge resources:
View our Contact Us page for additional information.
Additional Broadridge resource:
Your submission has been received. We will contact you soon.
Your sales rep submission has been received. One of our sales representatives will contact you soon.
Your submission has been received. One of our customer service representatives will contact you soon.
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.