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22c-2 Compliance

Effectively monitor 22c-2 Compliance

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Minimize risk in an increasingly complex regulatory environment by automating compliance monitoring and reporting. Our rules-based compliance solution aggregates data across intermediary platforms, flagging potential trading violations in real time.

Capture, analyze and report trading activities for 22c-2 Compliance

One of the most actively used Broadridge solutions, 22c-2 Compliance monitors market timing and other trading activities, offering early notification of potential SEC violations.

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Monitors Trading
Activity
icon product feature
Identifies Market
Timing
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Analyzes
Short-Term
Trading
icon product feature
Monitors Internal
Trading
icon product feature
Manages
Relationships
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Maintains Compliance
Data
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Streamlining 22c-2 compliance

Our integrated tool monitors transaction data across all intermediary platforms and applies market-timing rules to identifying compliance violations.

How We Can Help

A resource for the world's largest asset managers

80K
Funds tracked globally.
Shareholder Compliance
Fact Sheet

Shareholder Compliance

Broadridge’s Shareholder Compliance provides compliance managers with detailed, accurate and timely information that they need to monitor shareholder trading activities across all of their distribution channels.
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Asset Management
Resource
Intermediary Compliance Manager
Report
Market Volatility Effects on Mutual Fund Market Timing & Trading
Fact Sheet
Auditor Independence Assessment Services

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what’s next for you

Our representatives and specialists are ready with the solutions you need to advance your business.
REQUEST INFORMATION
Mutual Funds and ETF Providers

Simplify regulatory reporting

Stay focused on your core business while meeting regulatory requirements with our expertise and data-driven solutions.
Credit and Market Risk
Global Tax Reclaim and State Tax Reporting
15(c) Board Reporting
22c-2 Compliance
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