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22c-2 Compliance

Monitoring and reporting for 22c-2 compliance

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Minimize risk in an increasingly complex regulatory environment by automating compliance monitoring and reporting for your retirement services business. Our rules-based solution aggregates data across intermediary platforms and flags potential trading violations in real time, helping to simplify regulatory compliance and reporting.

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
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Identifies Market
Timing
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Analyzes
Short-Term
Trading
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Monitors Internal
Trading
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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

50
Years providing investor communications.
#1
Choice of the top fund complexes in the US.
Retirement Insights
Resource

Retirement Insights

A consolidated, comprehensive center point for a variety of customer experience (CX) design and retirement communications resources.
read more
October 2018

Let’s talk about
what’s next for you

Our representatives and specialists are ready with the solutions you need to advance your business.
REQUEST INFORMATION
Retirement Services Providers

Simplify regulatory and compliance reporting

Adapt to regulatory changes, monitor risk and achieve greater visibility into your operations with our reporting and communications solutions.
Regulatory Communications
22c-2 Compliance
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