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22c-2 Compliance

Monitoring and reporting for 22c-2 compliance

Minimize risk in an increasingly complex regulatory environment by automating compliance monitoring and reporting for your retirement services business. Our rules-based solution aggregates data across intermediary platforms and flags potential trading violations in real time, helping to simplify regulatory compliance and reporting.

Capture, analyze and report trading activities for 22c-2 Compliance

One of the most actively used Broadridge solutions, 22c-2 Compliance monitors market timing and other trading activities, offering early notification of potential SEC violations.

Monitors Trading
Activity

Identifies Market
Timing

Analyzes
Short-Term
Trading

Monitors Internal
Trading

Manages
Relationships

Maintains Compliance
Data

Streamlining 22c-2 compliance

Our integrated tool monitors transaction data across all intermediary platforms and applies market-timing rules to identifying compliance violations.

How We Can Help

A resource for the world's largest asset managers

80K

Funds tracked globally.

90%

Mutual fund assets flow through our platform.

300+

Financial institutions serviced by Broadridge.

Resource

Retirement Insights

A consolidated, comprehensive center point for a variety of customer experience (CX) design and retirement communications resources.

October 2018

Photo: Telecom sales rep meets with a new customer, demonstrating electronic communications capabilities

Let’s talk about
what’s next for you

Our representatives and specialists are ready with the solutions you need to advance your business.

REQUEST INFORMATION

15(c) Board Reporting

22c-2 Compliance

Advisor Resource Center

Advisor Websites

Annual Compliance

Asset Servicing

Bank Debt and Loan Trading

Beneficial Proxy Services

Billing and Expense Management

Capital Markets Disclosures

Cash Management

Collateral Management

Connectivity

Consumer Preference and Profile Management

Continuing Education

Credit and Market Risk

Data Management and Archival

Data Management, Analytics and Reporting

Derivatives Trade Processing

Digital Delivery

Digital Experience Management

Distributed Marketing Solution

Document Composition

EDGARForms

Enhanced Packaging

Enhanced Proxy Design

Equity Trade Processing

ESG Advisory Services

Expense Management and Fee Validation

Fi360 Data and Analytics

Fi360 Learning and Development

Fi360 Software and Technology

Financial Reporting

Fixed Income Trade Processing

Foreign Exchange Trade Processing

Global Securities Class Action Services

Global SWIFT Services

Global Tax Reclaim and State Tax Reporting

Intelligent Prospecting

Intraday Risk Monitoring

Investment Accounting

InvestorView

Local Business Listings

Managed Services, Hosting and Integration

Newsletters

Operational Risk Management

Performance and Attribution

Performance Dashboards and Operational Reports

Portfolio and Order Management

Post Trade and Regulatory Compliance

Pricing and Valuation

Print Delivery and Postal Optimization

Print Marketing

Proxy Services

ProxyVote

Reconciliation

Reference Data Management

Registered Proxy Services

Regulatory Communications

Revenue Management and Fee Billing

Sales and Asset Reporting

Securities Finance

Seminars

Shareholder Data Services

Sponsored Name Placement

Stock Transfer

Tax Services

Trade Processing and Settlement

Trading Platforms

Trust and Custody Services

Vdr

Virtual Shareholder Meeting

Visual Analytics

Wealth Insight Services

Segment Title

Solution Title