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+442075513000	EMEA
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+1 800 353 0103	North America
+442075513000	EMEA
+65 6438 1144	APAC

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+1 800 353 0103	Amérique du Nord
+1 905 470 2000	Canada Markham
+1 416 350 0999	Canada Toronto

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+1 800 353 0103	Amérique du Nord
+1 905 470 2000	Canada Markham
+1 416 350 0999	Canada Toronto

North American Post-Trade Business Process Outsourcing

Redefine your operating model for brokerage processing

Achieve scale and improved client engagement with our leading technology and operational outsourcing expertise for the investment lifecycle.

Streamline your operations while improving oversight

Streamline your operations for exceptional advisor and investor experience.

FINRA Regulated Broker-Dealer

Performance Transparency

Real-Time Business Continuity

Outcome-Based SLA

Enterprise-Wide Monitoring

Support High-Volume Trades

Learn More About Our Operating Functions

Clearance and Settlement

Trade balancing/matching
Purchase and sales trade reconciliation
Post-trade date correction
Vault/safekeeping services
Settlement processing

Asset Servicing

Corporate actions and proxy processing
Margin processing
Tax processing and reporting
Security master/pricing maintenance
Retirement/mutual funds processing

Regulatory Reporting

Financial and Operational Combined Uniform Single (FOCUS) filing
Customer protection
Net capital calculation
Accounting/financial reporting
Standard transmissions to Self-Regulatory Organization (SRO)

Risk and Control

Risk management
Trade monitoring
Firm balancing and reconciliation
Books and records retention

Trade Allocation

Rules-based engine for blocking, modifications and allocations
Support all markets and fees
Integrate directly with industry utilities: OASYS, CTM and GETC

See Product Details

How We Can Help

Leading technology and proven operations

35M

Customer accounts supported by our business process outsourcing.

$600

Billion in client assets supported by our business process outsourcing.

Best Outsourcing Provider to the Sell-Side 2016, 2017, 2018, 2019 and 2020.

Resource

Recent Insights from the Wealth Industry

Information and analysis to help strengthen client relationships and grow your business.

Wealth Management

Case Study

5 STORIES: How Broadridge Financial Services Business Process Outsourcing Tackles Clients’ Toughest Challenges

White Paper

Celent Research: Utility Solutions in Capital Markets

White Paper

Global Investing: Considerations for Building an End-to-End Solution

Video

Industry Transformation

Video

Making Brokerage Operations More Efficient

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

22c-2 Compliance

Annual Compliance

Bank Debt and Loan Trading

Beneficial Proxy Services

Billing and Expense Management

Broadridge Alternative Investments Hub

Capital Markets Disclosures

Cash Management

Collateral Management

Connectivity

Consumer Preference and Profile Management

Credit and Market Risk

Data Management and Archival

Data Management, Analytics and Reporting

Digital Delivery

Digital Experience Management

Distributed Marketing Solution

Distribution 360

Document Composition

Enhanced Packaging

Enhanced Proxy Design

Fact Sheets

Fi360 Learning and Development

Fi360 Software and Technology

Financial Reporting

Global Market Intelligence

Global Securities Class Action Services

Global SWIFT Services

Intraday Risk Monitoring

Investment Accounting

InvestorView

Local Business Listings

Managed Services, Hosting and Integration

Market Analytics

Operational Risk Management

Performance and Attribution

Performance Dashboards and Operational Reports

Portfolio and Order Management

Post Trade and Regulatory Compliance

Pricing and Valuation

Print Delivery and Postal Optimization

Proxy Services

ProxyVote

Reconciliation

Reference Data Management

Registered Proxy Services

Regulatory Communications

Sales and Asset Reporting

Securities Finance

Seminars

Shareholder Data Services

Sponsored Name Placement

Stock Transfer

Tax Services

Trade Processing and Settlement

Trust and Custody Services

Vdr

Virtual Shareholder Meeting

Visual Analytics