The Broadridge Compliance and Surveillance solution is a multi-asset class platform built to help broker-dealers surveil and monitor a wide range of activity.
Today’s data-driven environment adds new layers of complexity in compliance for wealth management firms. Changing markets, evolving asset classes, client centricity and rising SEC and FINRA regulations all result in massive new data flows. Legacy compliance tools and techniques simply lack the technological capabilities to meet these data-driven challenges.
Increase your compliance confidence.
Focus compliance where it’s needed.
Leverage efficient, comprehensive visibility and targeting across your firm based on risk.
Identify trends that deviate from your firm’s rules.
Process more data than the human eye can see, quickly and accurately.
Automated rules-based rigor.
Gain smarter compliance with less effort through an automated approach.
Increase accuracy.
Apply an efficient data-driven engine to minimize human error.
Create reports quickly and easily.
Use the intuitive dashboard to rapidly produce and schedule reports configured to your custom parameters.
