Compliance and Regulatory Accounting Managed Services for Capital Markets

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Meet your requirements for compliance and regulatory accounting with Broadridge's technology, operations and capital markets expertise. Our managed services will ensure that your firm stays up to date with ever-changing rules and regulations.

A powerful combination of leading technology, operations and expertise

From customer monitoring to year-end tax reporting, our managed services combine the leading technology and operations you need to stay compliant.

Regulatory Accounting Support

Accounts Payable and Receivable

Regulatory and Management Reporting

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Fixed Asset Accounting

Bank and G/L Reconciliations

Risk and Compliance Services

Learn More About Our Compliance and Regulatory Accounting Services

Compliance Services

Blue sheet reporting, class actions, summons, subpoena, etc.
Employee Trades, Watch/Restricted list, OFAC and AML monitoring
Agent and BD Registration processing, U4, U5, Form BD
Regulatory Continuing Education monitoring and compliance disclosures
Agent Registration, missing document and transaction violation monitoring

Regulatory Accounting and Reporting Services

Support Customer Protection Rule (15C3-3) including reserve computations
Support Focus Reports
General Ledger Accounting

See Product Specifications

Video

Making Brokerage Operations More Efficient

Learn how brokerage firms are addressing challenges in the face of increased regulation.

How We Can Help

Benefit from our expertise and leading technology

Best Outsourcing Provider to the Sell Side in 2016 and 2017, according to Waters Technology.

$11T+

Equity, options, fixed income and international settlements monthly.

Waters Technology names Broadridge Best Outsourcing Provider to the Sell Side 2016 and 2017.

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what’s next for you

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

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Asset ServicingAsset Servicing

Bank Debt and Loan TradingBank Debt and Loan Trading

Billing and Expense ManagementBilling and Expense Management

Cash ManagementCash Management

ConnectivityConnectivity

Credit and Market RiskCredit and Market Risk

Data Management, Analytics and ReportingData Management, Analytics and Reporting

Expense Management Managed ServicesExpense Management Managed Services

Foreign Exchange Trade ProcessingForeign Exchange Trade Processing

Global Securities Class Action ServicesGlobal Securities Class Action Services

Global SWIFT ServicesGlobal SWIFT Services

Intraday Risk MonitoringIntraday Risk Monitoring

Managed Reference Data ServiceManaged Reference Data Service

Managed Services, Hosting and IntegrationManaged Services, Hosting and Integration

Operational Risk ManagementOperational Risk Management

Performance and AttributionPerformance and Attribution

Portfolio and Order ManagementPortfolio and Order Management

Portfolio Securities VotingPortfolio Securities Voting

Post Trade and Regulatory CompliancePost Trade and Regulatory Compliance

Pricing and ValuationPricing and Valuation

Professional ServicesProfessional Services

Proxy ManagementProxy Management

ReconciliationReconciliation

Reconciliation Managed ServicesReconciliation Managed Services

Reference Data ManagementReference Data Management

Revenue Management and Fee BillingRevenue Management and Fee Billing

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