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.

Post Trade and Regulatory Compliance

Bring efficiency to post-trade regulatory reporting

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The regulatory environment is quickly evolving and becoming more complex. Stay ahead of it with a comprehensive, automated reporting platform. Our fully-hosted solution can help you prepare by improving visibility, managing risk and reducing errors.

Our flexible solution can adapt to changing reporting requirements

The platform is nimble enough to accommodate and process various data formats and it's completely flexible, so it can support new reporting environments as regulations change.

Fully Customizable

Full Archiving of Results

Scalable Structure

Continuous Data Validation

Reporting Dashboard

Fully-hosted solution

Automated process reduces costly resources

With automated processes such as data collection, the regulatory platform reduces manual- entry errors and allows users to focus on analysis, rather than form preparation.

Expand Your Reporting Capabilities

Broadridge Regulatory Reporting

Defined static data elements
Integrated data from multiple sources
Repeatable applications
Enhanced controls, including risk mitigating processes
Complete inventory of reporting forms

Broadridge Compliance Master

Rules and reports can be customized
Standard report templates include Current Breaches, Overridden Breaches, Results Per Fund, Results Per Rule and a Full Audit report
Reporting capabilities through advanced graphic dashboards and mobile access
Full archiving of results into a centralized data warehouse available for audit and retention needs
Standard sets of rules available for fast configuration (e.g. UCITS)

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How We Can Help

Get a handle on increasing regulatory costs

35%

Firms that believe they are underprepared for the regulatory environment.

75%

Fund managers citing regulatory compliance as the cause of declining margins.

85%

Fund managers that have seen their people costs increase.

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