Close
Additional Broadridge resources:
View our Contact Us page for additional information.
One of our sales representatives will email you about your submission.
Welcome back, {firstName lastName}.
Not {firstName}? Clear the form.
Want to speak with a sales representative?
Your sales rep submission has been received. One of our sales representatives will contact you soon.
Our representatives and specialists are ready with the solutions you need to advance your business.
Want to speak with a sales representative?
| Table Heading | |
|---|---|
| +1 800 353 0103 | North America |
| +442075513000 | EMEA |
| +65 6438 1144 | APAC |
Your sales rep submission has been received. One of our sales representatives will contact you soon.
Want to speak with a sales representative?
| Table Heading | |
|---|---|
| +1 800 353 0103 | North America |
| +442075513000 | EMEA |
| +65 6438 1144 | APAC |
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.
