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Post Trade and Regulatory Compliance

Bring efficiency to post-trade regulatory reporting

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The regulatory environment is quickly evolving and becoming more complex. Stay ahead with a comprehensive automated reporting platform. Our fully-hosted solution can help you prepare by improving visibility, managing risk and reducing errors.

Flexibility to adapt to changing reporting requirements

The platform is nimble enough to accommodate and process various data formats and flexible enough to support new reporting environments as regulations change.

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Fully Customisable
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Full Archiving of Results
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Scalable Structure
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Continuous Data Validation
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Reporting Dashboard
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Fully-hosted solution
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Automated process reduces costly resources

With automated processes such as data collection, the regulatory platform reduces errors from manual entry and allows users to focus on analysis rather than form preparation.

Expand Your Reporting Capabilities

Broadridge Regulatory Reporting

  • Defined static data elements
  • Integrated data from multiple sources
  • Repeatable applications
  • Enhanced controls, including risk mitigating processes
  • Complete inventory of reporting forms

Broadridge Compliance Master

  • Rules and reports can be customised for each client firm, and even for each fund
  • Standard report templates include Current Breaches, Overridden Breaches, Results Per Fund, Results Per Rule and a Full Audit report
  • Reporting capabilities through advanced graphic dashboards and mobile access
  • Full archiving of results into a centralised data warehouse available for audit and retention needs
  • Standard sets of rules available for fast configuration (e.g. UCITS)
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How We Can Help

Get a handle on increasing regulatory costs

35%
Firms that believe they are underprepared for the regulatory environment.
75%
Fund managers citing regulatory compliance as the cause of declining margins.
85%
Fund managers that have seen their people costs increase.
“Because administrators are already holding the bulk of operational, tax and accounting data, regulatory reporting is an obvious area where they can add value.”
Gert Raeves
Executive Advisor, CEB
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