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22c-2 Compliance

Effectively monitor 22c-2 compliance

Today's regulatory environment continues to become more complex. But retirement services providers can minimize risk by automating compliance monitoring and reporting. Our rules-based solution for wealth management aggregates data across intermediary platforms and flags potential trading violations in real time, helping to simplify regulatory and compliance reporting.

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

Our widely used 22c-2 compliance solution helps retirement services providers monitor market timing and other trading activities and provides early notification of potential SEC violations.

Monitors Trading
Activity
Identifies Market
Timing
Analyzes
Short-Term
Trading
Monitors Internal
Trading
Manages
Relationships
Maintains Compliance
Data
How We Can Help

A resource for the world's largest asset managers

80K
Funds tracked globally.
300+
Financial institutions serviced by Broadridge.
90%
Of mutual fund assets flow through our platform.
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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