Broadridge Audit Trail from Broadridge Financial Solutions

Provides comprehensive audit trail capabilities to meet regulatory compliance requirements. It includes transaction tracking, automated record-keeping, and reporting features to ensure accuracy and accessibility.

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Product analysis by function

Audit Trail and Record-Keeping Systems for Compliance

Solutions that maintain comprehensive records of all transactions, client interactions, and compliance activities for regulatory examinations and investigations.
More Audit Trail and Record-Keeping Systems More Compliance ...

Data Capture & Transaction Logging
(0 Yes /0 Known /15 Possible features)

Access Controls & Security
(0 Yes /0 Known /15 Possible features)

Regulatory Compliance Support
(0 Yes /0 Known /15 Possible features)

Scalability & Performance
(0 Yes /0 Known /15 Possible features)

Reporting & Analytics
(0 Yes /0 Known /15 Possible features)

Data Integrity & Authenticity
(0 Yes /0 Known /15 Possible features)

Audit Retrieval & Search
(0 Yes /0 Known /15 Possible features)

Client Communication & Interaction Logging
(0 Yes /0 Known /15 Possible features)

User Experience & Administration
(0 Yes /0 Known /15 Possible features)

Integration & Interoperability
(0 Yes /0 Known /15 Possible features)

Disaster Recovery & Business Continuity
(0 Yes /0 Known /15 Possible features)

Audit Trail Extensibility & Customization
(0 Yes /0 Known /15 Possible features)

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Comprehensive Transaction Logging Records all client orders, executions, amendments, and cancellations.		No information available
Event Timestamping Accuracy Records time with sub-second granularity for all events.		No information available
Change Tracking for Records Any modification or deletion is fully recorded (who/what/when/why).		No information available
Read-only Access to Historical Data Historical audit logs are immutable and non-editable by users.		No information available
Unique Event Identification Every transaction/event is assigned a unique identifier for audit tracing.		No information available
Version Control Supports roll-back and inspection of all previous states of data.		No information available
Automated Archival Automates the retention and archiving of records by retention policies.		No information available
Error/Event Log Retention Logs all system/process errors and warnings for troubleshooting.		No information available
Record Volume Capacity Maximum number of records stored without system degradation.		No information available
System-wide Audit Consistency Checks Regular validation for consistency and integrity across audit records.		No information available
Automated Exception Capture Detects and logs deviations from expected or compliant behavior.		No information available
Support for Digital Signatures Logs can be cryptographically signed to prove non-alteration.		No information available
Data Capture for External Integrations Records activities arising from API or external system integrations.		No information available
Anonymized Audit Trails Option to anonymize data for privacy while preserving audit value.		No information available
Real-time Data Capture Latency Time from event occurrence to log entry.		No information available

Role-based Access Control (RBAC) Configurable permissions based on defined user roles.		No information available
Multi-factor Authentication (MFA) Requires multiple forms of identity verification to access audit data.		No information available
Audit Trail Encryption Audit logs and records are encrypted at-rest and in-transit.		No information available
Immutable Audit Logs Prevents purging or altering audit data except by system processes.		No information available
Fine-grained Access Control User and group level restriction for querying or exporting specific logs.		No information available
Access Log Monitoring Monitors all attempts to view/download audit information.		No information available
Audit Access Reporting Produces detailed logs of who accessed what audit information and when.		No information available
Privilege Escalation Alerts Notifies administrators of unauthorized access attempts or privilege changes.		No information available
Custom Security Policies Ability to define password policies, access expiration, whitelisting, etc.		No information available
IP Whitelisting/Blacklisting Limits access to authorized devices/networks only.		No information available
Session Timeout Settings Automatically logs users out after inactivity.		No information available
Data Retention Policy Enforcement Controls when logs are deleted or archived per compliance mandates.		No information available
Tamper Evident Logging Automatically detects any attempts to alter or delete logs.		No information available
Automatic Security Patch Updates Keeps system up to date with the latest security measures.		No information available
Audit Data Masking Sensitive client identifiers within the logs are masked where applicable.		No information available

Retention Period Configurability Allows retention periods to be set for specific jurisdictions, e.g., 7 years for SEC.		No information available
Audit Schema Compliance Supports standardized data formats/layouts required by regulators.		No information available
Regulation Change Updates System can be updated for new or altered regulatory data requirements.		No information available
Historical Data Reconciliation Tools Aids in reconciling log records for periodic regulatory reviews.		No information available
Automated Regulatory Filing Direct link for submitting requisite audit files to regulators.		No information available
Country/Jurisdiction Selector Enables switching between compliance standards for multiple regions.		No information available
GDPR/CCPA Privacy Features Enables deletion/anonymization in line with international privacy laws.		No information available
Advanced Search by Regulatory Criteria Filters logs by fields or tags required for compliance.		No information available
Retention Violation Alerts Active notifications for non-compliance with retention policies.		No information available
Subpoena/Regulator Request Handling Expedited processes for presenting data under legal or regulatory demand.		No information available
Regulator API Integration Ready-to-use connectors for uploading required logs to regulatory portals.		No information available
Encryption Key Management Demonstrates compliance with data encryption standards and auditability.		No information available
Risk-based Audit Access Applies stricter controls on sensitive or high-risk audit records.		No information available
Automated Expiry Notifications Alerts admin prior to deletion/archive in regulated timeframes.		No information available
Evidence of Compliance Documentation Built-in generation of compliance attestation reports.		No information available

Maximum Throughput Peak volume of records written per second with no data loss.		No information available
Low-latency Write Capability Shortest duration for audit entry to persist after the triggering event.		No information available
Concurrent User Support Number of users who can read/query the log system simultaneously without performance degradation.		No information available
Horizontal Scaling Support Easily adds server nodes or cloud instances to support growth.		No information available
Max Storage Capacity Maximum data storage supported on a single deployment.		No information available
Real-time Search Indexing Updates search indices in real-time as new records are written.		No information available
System Resource Auto-scaling Dynamically allocates compute and storage resources.		No information available
Time to Restore Logs (RTO) Duration to restore full log access following outage/failure.		No information available
Data Ingestion APIs High-performance APIs for bulk and streaming log entry.		No information available
Support for Multiple Log Streams Parallel ingestion and handling of different audit sources.		No information available
Load Balancing Distributes incoming audit data for consistent performance.		No information available
Non-blocking Write Architecture Writing audit logs does not block trading or compliance operations.		No information available
System Monitoring and Metrics Tracks throughput, latency, and error rates for health monitoring.		No information available
Archive Retrieval Speed Speed for accessing historical, archived records.		No information available
Bulk Import/Export Capability Efficiently handles mass data migrations.		No information available

Custom Audit Reports Configurable templates for summary and detail views.		No information available
Scheduled Report Generation Automates regular audit/regulatory reports.		No information available
Visual Dashboards Interactive data visual representation for key metrics/trends.		No information available
Anomaly Detection Identifies and highlights deviations from normal audit patterns.		No information available
Advanced Query Language Support Enables complex, ad hoc audit data interrogations.		No information available
Export to Multiple File Formats Extract data as PDF, XLSX, CSV, XML, etc. for sharing.		No information available
Filter and Drill-down Capabilities Users can drill down from summary to granular transaction details.		No information available
Historical Trend Analysis Compares audit data over time to identify recurring issues.		No information available
User Customization of Metrics Users define which audit statistics are tracked/displayed.		No information available
Automated Daily Summaries System-generated summary of daily compliance and transaction activities.		No information available
Data Visualization Widgets Multiple chart types and widgets for new insights.		No information available
Pre-built Regulatory Report Templates Templates for quick export of commonly requested audit documents.		No information available
Usage Analytics Tracks how and when the audit trail features are used.		No information available
Alert Generation for Report Findings System-generated alerts for outliers, gaps, or risks found in reports.		No information available
Auditable Report History Keeps history of report accesses, downloads, and recipients.		No information available

Hash Chaining Each record is cryptographically chained to prior, proving the order and integrity.		No information available
Checksum and Validation Checksums verify the completeness and accuracy of stored logs.		No information available
Tamper-evidence Mechanisms Detects any alteration; exposes if audit data is changed post-ingest.		No information available
Data Replication Multiple, geographically separated log backups.		No information available
Chain of Custody Documentation Proves unbroken record handling for evidence purposes.		No information available
Source Attribution Links every log entry to its originating system/user.		No information available
Immutable Storage Physical/virtual storage that prohibits overwriting of audit data.		No information available
Integrity Verification Scheduling Regular system-initiated audits of log/database integrity.		No information available
Signature Verification APIs Check digital signatures to prove authenticity of exported logs.		No information available
Integrity Breach Notifications Real-time alerts if data corruption or tampering is detected.		No information available
Deterministic Audit ID Generation Ensures no accidental ID collisions, for verifiable referencing.		No information available
Retention of Log Integrity Post-archive Data is never corrupted or lost, even in long-term storage.		No information available
Comprehensive Audit Trails for Internal Controls Monitors not just transactions, but all control access to sensitive data.		No information available
Automated Integrity Checks Frequency How often the system performs integrity verifications.		No information available
Trusted Time Source Synchronization Ensures events are timestamped using NIST or equivalent standard.		No information available

Full-text Search Capability Searches all indexed fields and raw content of records.		No information available
Indexed Querying Indexed fields for performance optimization (dates, user IDs, transaction IDs, etc.).		No information available
Time Range Search Search and filter on specific time periods or ranges.		No information available
Advanced Filter Options Allows multi-level facet filtering by various attributes.		No information available
Saved Search Queries Users can save common or complex search filters for re-use.		No information available
Real-time Results Display Updates search results instantly as new data arrives.		No information available
Export Search Results Easily export filtered records to multiple file formats.		No information available
Bulk Retrieval Capability Download or move large volumes for compliance review.		No information available
Search Result Pagination For large results, supports user-friendly browsing and navigation.		No information available
User-specific Search History Retains past user search queries for audit and workflow efficiency.		No information available
Auto-complete & Query Suggestions Aids users in forming accurate queries faster.		No information available
Legal Hold Functionality Locks relevant records to prevent deletion during investigation.		No information available
Partial Match and Fuzzy Search Supports approximate matching for user error tolerance.		No information available
Complex Boolean Query Support Combine AND, OR, NOT operators for sophisticated searching.		No information available
Search Query Response Time How quickly a query returns results regardless of log size.		No information available

Call Recording Integration Captures and stores audio of all voice interactions with clients.		No information available
Chat and Messaging Capture Automatically archives all IM, chat, and platform messages.		No information available
Email Logging Captures all inbound/outbound client correspondence emails.		No information available
In-person Meeting Notes Audit Logs official summaries and sign-off for physical meetings.		No information available
Omni-channel Communication Archiving Integration with multiple comms platforms (SMS, social, apps, etc.).		No information available
Searchable Communication Archives All captured communications are easily searchable.		No information available
Communication Tagging Label communications for easy retrieval (topic, case, urgency, etc.).		No information available
Retention Policy by Channel Retention rules can be set by communication mode.		No information available
Compliance Keyword Detection Automated flagging of key terms (insider dealing, etc.).		No information available
Consent Management Logs and manages client consent for call/communication recording.		No information available
Message Integrity Checking Ensures archive completeness with no missing data.		No information available
Attachment Archiving Stores and indexes all communication attachments and files.		No information available
Multi-language Support Logs communications in any supported language and script.		No information available
Client ID Cross-referencing Links all communications with client account identifiers.		No information available
Bulk Export for Review Allows export of full communication records for audits.		No information available

Intuitive User Interface Simple, clear navigation for all user types.		No information available
Role-based Dashboard Customization Dashboards tailored to the needs of different users.		No information available
Audit Log API Documentation Comprehensive developer guides for third-party/system integration.		No information available
Single Sign-on (SSO) Integration with standard SSO providers for ease of logging in.		No information available
Self-service Password Reset Users can reset their own credentials securely.		No information available
Bulk User Import/Management Admin can add/remove groups of users efficiently.		No information available
Granular Audit Permission Assignments Detailed control of which users may query/export/alter audit settings.		No information available
In-app Help/Guided Tutorials Contextual, step-by-step guidance for new users.		No information available
Change Management Audit Logs system config changes (updates, patches, settings, etc.).		No information available
Real-time Admin Alerts Admin is notified of unusual events, threshold triggers, or failures.		No information available
Scheduled Backups and Maintenance Administrative scheduling for backups, archiving, and cleanup.		No information available
Multi-lingual Interface Support Interface can be localized for global teams.		No information available
User Session Tracking Monitor and log all user sessions for audit and training.		No information available
Custom Branding Supports branding portal/logs for client-facing platforms.		No information available
Up-time Monitoring System continually tracks/alerts on service availability.		No information available

Open API Access Well-documented API for read/write/stream audit records.		No information available
Integration with Core Trading Platforms Standardized connectors to major OMS/EMS/back-office/CRM systems.		No information available
3rd Party Data Enrichment Support Ability to link/join with external KYC, payment, market data, etc.		No information available
Regulatory Gateway Connections Connects directly to regulatory data submission endpoints.		No information available
Bulk Import/Export via File Transfer Batch exchange with external environments using SFTP, etc.		No information available
Cloud Service Integration Works with AWS, Azure, GCP storage and analytics services.		No information available
Message Broker Compatibility Supports Kafka, RabbitMQ, etc. for real-time event streaming.		No information available
Webhooks and Callbacks Triggers custom actions when specific audit events occur.		No information available
Single Sign-On (SSO) Federation Supports SSO integration for seamless access across apps.		No information available
Data Format Interoperability Supports multiple standards (JSON, XML, FIX, CSV).		No information available
Connectors to Data Lakes/Warehouses Exports log data to central analytics environments.		No information available
Automated Data Sync Scheduling Schedules and executes regular data sync jobs.		No information available
Legacy System Migration Support Tools for importing and transforming data from prior log systems.		No information available
Remote System Health Monitoring Integration with enterprise IT monitoring tools.		No information available
Integrated API Throttling & Rate Limits Prevents overload and ensures stable performance.		No information available

Automated Backups Regular point-in-time backups of all logs and settings.		No information available
High-availability Architecture Failover and clustering for zero-downtime resilience.		No information available
Geographic Redundancy Logs/data are stored in multiple regions/countries.		No information available
Disaster Recovery Plan Documentation Well-documented and regularly-updated plans for recovery.		No information available
Recovery Point Objective (RPO) Maximum tolerable period in which data might be lost due to an outage.		No information available
Recovery Time Objective (RTO) Target duration for restoring audit system access post-failure.		No information available
Automated Failover Tests Periodic exercises to validate system resilience.		No information available
Audit Log Export for Offline Archival Periodic export to offline/removable media.		No information available
Encrypted Offsite Storage Copies stored in offsite, encrypted media/datacenter.		No information available
Recovery Runbook Availability Quick-access runbook for administrators to follow in disaster.		No information available
Service Continuity SLAs Guaranteed recovery/availability backed by contractual SLAs.		No information available
Failover Drill Audit Logs Proof of successful drills and their regularity.		No information available
Restore Verification Reports Automated reports post-backup/restore to verify completeness.		No information available
Redundant Systems for Power/Network Physical redundancy in datacenters (UPS, generators, network routes).		No information available
Test Environment Separation DR test and production physically/logically separated.		No information available

Custom Event Schema Definition Define custom fields/types for new audit events.		No information available
Configurable Audit Policies Easily adjust what is logged, how, and for how long.		No information available
Plugin/Module Support Third-party/ISV plugins for new integrations or features.		No information available
UI Customization Tailor look, feel, and workflows to organization needs.		No information available
Workflow Automation Customizable rules for alerting, approval, notifications, etc.		No information available
Field-level Security Customization Configurable security for different data fields or types.		No information available
Audit Metadata Tagging Supports tagging with business, product, client, or compliance tags.		No information available
Retention Rule Customization Supports custom periods/behaviors for log retention.		No information available
SSO / Identity Provider Integration Support for any SAML/OIDC compatible ID provider.		No information available
Custom Alert/Notification Configuration Custom rules for when/whom to notify for audit events.		No information available
Multi-tenancy Support Manages separation and security among different business units.		No information available
Localization - Custom Language Packs Ability to add new languages for GUI/reporting.		No information available
API Middleware Customization Configure pre/post API processing logic.		No information available
Regulatory Requirement Override Override defaults to meet emerging regulatory needs.		No information available
Field Mapping for Data Export Flexibly define how fields are mapped in export.		No information available

Broadridge Audit Trail from Broadridge Financial Solutions

Product analysis by function

Audit Trail and Record-Keeping Systems for Compliance

Data Capture & Transaction Logging (0 Yes /0 Known /15 Possible features)

Access Controls & Security (0 Yes /0 Known /15 Possible features)

Regulatory Compliance Support (0 Yes /0 Known /15 Possible features)

Scalability & Performance (0 Yes /0 Known /15 Possible features)

Reporting & Analytics (0 Yes /0 Known /15 Possible features)

Data Integrity & Authenticity (0 Yes /0 Known /15 Possible features)

Audit Retrieval & Search (0 Yes /0 Known /15 Possible features)

Client Communication & Interaction Logging (0 Yes /0 Known /15 Possible features)

User Experience & Administration (0 Yes /0 Known /15 Possible features)

Integration & Interoperability (0 Yes /0 Known /15 Possible features)

Disaster Recovery & Business Continuity (0 Yes /0 Known /15 Possible features)

Audit Trail Extensibility & Customization (0 Yes /0 Known /15 Possible features)