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+1 800 353 0103	North America
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+1 800 353 0103	Amérique du Nord
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+1 800 353 0103	Amérique du Nord
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Post Trade and Regulatory Compliance

Bring efficiency to post-trade regulatory reporting

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

Flexible solution can adapt to changing reporting requirements

The platform is nimble enough to accommodate and process various data formats and it's completely flexible, so it can support new reporting environments as regulations change.

Fully Customizable

Full Archiving of Results

Scalable Structure

Continuous Data Validation

Reporting Dashboard

Fully-hosted solution

Automated process reduces costly resources

With automated processes such as data collection, the regulatory platform reduces manual- entry errors 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 customized 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 centralized data warehouse available for audit and retention needs
Standard sets of rules available for fast configuration (e.g. UCITS)

See Product Specifications

How We Can Help