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A Capital Markets Roadmap to Transparency, Governance and Compliance


Instead of scrambling to respond on a reg-by-reg basis, firms can streamline compliance by working toward a more robust, centralized data repository.

33% of financial firms spend more than 5% of annual budgets on compliance.

Transformation Roadmap

Today every new regulation runs into the same challenges

Transformation Roadmap2

It’s time to think bigger.

Establish an operational framework that offers actionable transparency enterprise wide—no matter what comes your way.

Take control of your data and dataflows

Take Control

Instantly see how and where regulations impact your business.

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SIMPLIFY REPORTING

Gain visibility into transactions, accounts, client relationships, positions, collateral, valuations and risk exposure.

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IMPROVE THE CUSTOMER EXPERIENCE

The same data used for regulatory reporting can provide a deeper understanding of customers.

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THIS OPERATIONAL FRAMEWORK PROVIDES THE BIG-PICTURE VIEW YOU NEED—UPSTREAM AND DOWNSTREAM

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Rethink Compliance and Governance

Stay ahead of regulatory complexity. We see what’s coming because the industry runs through us. Explore the leading technologies, operations and expertise that add transparency and control at every step.

Get started today at broadridge.com/rethink-compliance

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