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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.

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Monitors Trading
Activity
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Identifies Market
Timing
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Analyzes
Short-Term
Trading
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Monitors Internal
Trading
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Manages
Relationships
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Maintains Compliance
Data
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.
Photo: Telecom sales rep meets with a new customer, demonstrating electronic communications capabilities Photo: Telecom sales rep meets with a new customer, demonstrating electronic communications capabilities

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