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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
icon product feature
Identifies Market
Timing
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Analyzes
Short-Term
Trading
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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

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.
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October 2018

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what’s next for you

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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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