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About Broadridge

Regulatory Trade and Transaction Reporting

Adopt a strategic approach to your regulatory reporting

Reduce risk and demonstrate compliance for new regulations and market practices across all asset classes, even the most complex OTC derivatives.

Strategic solutions for mandatory trade and transaction reporting; trade position and activity verification

Reduce exposure to new and evolving reporting mandates globally such as Dodd-Frank, EMIR, MiFID II, CAT and SFTR.

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Trade and Transaction Reporting
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Multiple Jurisdiction Coverage
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Trade Position Verification
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Enterprise Control Framework

Product Specifications

Trade and Transaction Reporting

Control and transparency for reporting to multiple repositories in North America, EMEA and APAC from multiple internal systems across asset classes

  • Available on an installed or hosted basis
  • Rules-based, built-for-purpose strategic platform
  • Business rules validation to identify pre-submission errors
  • Robust and proven for Dodd-Frank, EMIR, MiFID II, CAT, SFTR and other jurisdictions
  • Single solution for all asset classes and reporting destinations
  • Highly configurable dashboards to handle regulatory operations monitoring, workflow and remediation
  • Real-time and T+1 reporting

Enterprise Control Framework

A fully configurable workflow exception management solution with dashboards and reporting to assist root cause analysis

  • Holistic view of trade status
  • One solution for all asset classes, including OTC, listed derivatives, equities, fixed income and securities financing
  • Error classification, prioritization and assignment
  • Data lineage and reporting rule transparency
  • Full audit trails

Trade Position Verification

End-to-end position or activity reconciliation for each reporting obligation proving completeness and accuracy of your reporting through a single platform

  • Harmonize incoming data from external repositories for all jurisdictions and asset classes
  • Harmonize data from multiple internal source systems
  • Verify trade position economics from external repositories against internal books and records, and highlight exceptions and issues in a user configurable dashboard
  • Enable routing and tracking of exceptions to appropriate internal consumers or systems for action
  • Provide a full audit of human actions, detailed break ageing, root cause analysis and KPIs
  • Reduce operational costs and risk of errors, and provide confidence that regulatory reporting meets your compliance obligations
How We Can Help

Streamline your trade and transaction reporting process

#1
Post Trade Services, Bobsguide Rankings 2019.

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