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About Broadridge

Post Trade Processing Business Process Outsourcing

Redefine your operating model for post-trade processing

Increase operational efficiency, control expenses, stay compliant and scale your business with our leading technology and operational expertise. Benefit from our technology and operations outsourcing for the entire trade life cycle, from trade capture through clearance and settlement to books and records.

Streamline your operations while improving oversight

Our comprehensive governance and control model was developed under SEC and FINRA requirements to establish ongoing oversight policies, ensuring that investors' best interests are not compromised.

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FINRA Regulated Broker-Dealer
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Outcome-Based SLA
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Performance Transparency
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Enterprise-Wide Monitoring
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Real-Time Business Continuity
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Support High-Volume Trades

Learn More About Our Operating Functions

Clearance and Settlement

  • Trade balancing/matching
  • Purchase and sales trade reconciliation
  • Post-trade date correction
  • Vault/safekeeping services
  • Settlement processing

Asset Servicing

  • Corporate actions and proxy processing
  • Margin processing
  • Tax processing and reporting
  • Security master/pricing maintenance
  • Retirement/mutual funds processing

Regulatory Reporting

  • Financial and Operational Combined Uniform Single (FOCUS) filing
  • Customer protection
  • Net capital calculation
  • Accounting/financial reporting
  • Standard transmissions to Self-Regulatory Organization (SRO)

Risk and Control

  • Risk management
  • Trade monitoring
  • Firm balancing and reconciliation
  • Books and records retention

Trade Allocation

  • Rules-based engine for blocking, modifications and allocations
  • Support all markets and fees
  • Integrate directly with industry utilities: OASYS, CTM and GETC
How We Can Help

Leading technology and proven operations

Customer accounts supported by our Business Process Outsourcing.
Daily trades.
Six-time winner of Waters Technology “Best Outsourcing Provider to the Sell Side” 2016-2021.
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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Our representatives and specialists are ready with the solutions you need to advance your business.