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Broadridge Fund Document Management from Broadridge Financial Solutions

Streamlines document management throughout the fund lifecycle, from initial capture through processing, distribution, and compliance. Offers collaboration features and secure cloud-based access.

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Product analysis by function

Document Management Systems for Fund Operations

Platforms for storing, organizing, retrieving, and managing electronic documents related to fund operations, including statements, confirmations, legal documentation, and other records.
More Document Management Systems More Fund Operations ...

Document Storage and Organization
(0 Yes /0 Known /14 Possible features)

Document Access and Security
(0 Yes /0 Known /14 Possible features)

Search and Retrieval
(0 Yes /0 Known /13 Possible features)

Workflow Automation and Collaboration
(0 Yes /0 Known /13 Possible features)

Integration and Interoperability
(0 Yes /0 Known /12 Possible features)

Compliance and Regulatory Features
(0 Yes /0 Known /12 Possible features)

Performance and Scalability
(0 Yes /0 Known /10 Possible features)

User Experience and Interface
(0 Yes /0 Known /11 Possible features)

Reporting and Analytics
(0 Yes /0 Known /10 Possible features)

Backup, Recovery, and Business Continuity
(0 Yes /0 Known /10 Possible features)

Mobile and Remote Access
(0 Yes /0 Known /10 Possible features)

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Folder Hierarchies Ability to organize documents within nested folders and subfolders for logical grouping of records.		No information available
Tagging and Metadata Ability to assign tags and metadata (such as document type, date, and fund name) to enhance search and classification.		No information available
Bulk Upload Upload multiple documents at once to improve efficiency.		No information available
Version Control Track and manage multiple versions of a document with rollback and history features.		No information available
Document Templates Pre-defined templates for frequently used document types.		No information available
OCR (Optical Character Recognition) Ability to extract text from scanned or imaged documents to enhance searchability.		No information available
Document Size Limit Maximum allowed size per uploaded document.		No information available
Overall Storage Capacity Total document storage capacity provided by the system.		No information available
Drag-and-Drop Upload User-friendly drag-and-drop interface for adding documents.		No information available
Automatic File Naming Conventions Ability to standardize naming of documents during upload or save.		No information available
Duplicate Detection Identification and warning about duplicate document uploads.		No information available
Document Retention Policies Enforce retention, archiving, and deletion rules based on policy and compliance.		No information available
Audit Log Track all actions performed on documents for compliance and monitoring.		No information available
Custom Taxonomy Support Support for building customized taxonomies according to fund needs.		No information available

Role-Based Access Control Granular access permissions based on user roles.		No information available
Single Sign-On (SSO) Integration Integration with enterprise SSO providers for authentication.		No information available
Two-Factor Authentication (2FA) Support for two-factor authentication for user logins.		No information available
Document Encryption (At Rest) Encryption of documents stored within the system.		No information available
Document Encryption (In Transit) Encryption using HTTPS/TLS during upload/download.		No information available
Watermarking Ability to watermark sensitive documents to deter unwanted sharing.		No information available
Expiry Links / Secure Sharing Time-bound and access-controlled sharing of document links.		No information available
Access Logging Detailed tracking of which users accessed which documents and when.		No information available
Granular Permission Settings Set permissions for view, edit, or download at the document or folder level.		No information available
IP Restrictions Restrict access based on IP address ranges.		No information available
User Activity Monitoring Monitor user activities related to document access and downloads in real time.		No information available
Remote Document Deletion Ability to remove access to documents remotely if needed (e.g., when permissions change).		No information available
Legal Hold Capabilities to place legal holds on documents for compliance or litigation purposes.		No information available
Data Loss Prevention (DLP) Integration Integrate with DLP solutions to prevent sensitive data exfiltration.		No information available

Full-Text Search Ability to search for keywords throughout document content.		No information available
Advanced Search Filters Filter results by attributes such as date range, type, fund, tags, or uploader.		No information available
Search Speed Typical time to return results for a simple search.		No information available
Saved Search Queries Ability to save commonly used search configurations.		No information available
Search Result Export Export search results to Excel, PDF, or other formats.		No information available
Faceted Search Support for search refinement using hierarchical facets (i.e., fund, year, document type).		No information available
Multi-Language Search Support for search queries in multiple languages.		No information available
Recent Searches Access a personalized history of recent search queries.		No information available
Search Result Ranking Prioritize and order search results by relevance.		No information available
Wildcard and Fuzzy Search Advanced search capabilities with partial matches or misspellings.		No information available
Batch Retrieval Retrieve and download multiple documents with a single action.		No information available
Quick Preview Preview contents of documents directly in the search results window.		No information available
Search Audit Trail Log and monitor search activities for compliance.		No information available

Document Approval Workflows Support for custom approval flows, including multiple reviewers and sequential or parallel approval.		No information available
Task Assignment Assign review or follow-up tasks related to specific documents.		No information available
Workflow Templates Reusable workflow structures for recurring fund processes.		No information available
Automated Reminders and Notifications Trigger email or system notifications based on workflow events (e.g., pending approvals, expiries).		No information available
Commenting and Threaded Discussions Support threaded communication on documents for context and audit trail.		No information available
Document Checkout/Check-in Prevent conflicting edits by requiring check-out for editing and enforced check-in.		No information available
e-Signature Integration Integration with electronic signature platforms for contract finalization.		No information available
Collaboration Limits Maximum number of simultaneous collaborators per document.		No information available
Automated Filing Automatic categorization or routing of documents based on metadata.		No information available
Escalation Rules Automated escalation paths for overdue approvals or reviews.		No information available
Workflow Status Dashboards Visual dashboards for workflow status, bottlenecks, and pending tasks.		No information available
Integration with Communication Tools API or direct integration with email, Slack, Teams, or similar platforms.		No information available
Workflow Audit Logs Detailed logs of workflow actions and status changes for compliance.		No information available

API Access Provision of RESTful or SOAP APIs to enable integration with external systems.		No information available
Data Import/Export Support for importing and exporting data using CSV, XML, or other common formats.		No information available
Integration with Core Fund Systems Direct connectivity with accounting, portfolio management, and trade order management platforms.		No information available
ERP Integration Capabilities to link with enterprise resource planning software.		No information available
Single Sign-On (SSO) Providers Supported Number of SSO providers that can be integrated.		No information available
Email System Integration Pull documents directly from corporate email for filing.		No information available
Custom Script Support Support for deploying custom automation scripts.		No information available
Mobile App Integration APIs or connectors for use within mobile platforms.		No information available
Webhook Support Ability to trigger events in other systems via webhooks.		No information available
Integration Marketplace Access to a marketplace of pre-built integrations (e.g., DocuSign, Salesforce).		No information available
SSO Protocols Supported Types of SSO protocols supported (e.g., OAuth, SAML, OpenID).		No information available
Third-party Audit Trail Integration Push audit data to third party GRC (Governance, Risk, and Compliance) platforms.		No information available

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Financial Technology Year

Broadridge Fund Document Management from Broadridge Financial Solutions

Product analysis by function

Document Management Systems for Fund Operations

Document Storage and Organization
(0 Yes /0 Known /14 Possible features)

Document Access and Security
(0 Yes /0 Known /14 Possible features)

Search and Retrieval
(0 Yes /0 Known /13 Possible features)

Workflow Automation and Collaboration
(0 Yes /0 Known /13 Possible features)

Integration and Interoperability
(0 Yes /0 Known /12 Possible features)

Compliance and Regulatory Features
(0 Yes /0 Known /12 Possible features)

Performance and Scalability
(0 Yes /0 Known /10 Possible features)

User Experience and Interface
(0 Yes /0 Known /11 Possible features)

Reporting and Analytics
(0 Yes /0 Known /10 Possible features)

Backup, Recovery, and Business Continuity
(0 Yes /0 Known /10 Possible features)

Mobile and Remote Access
(0 Yes /0 Known /10 Possible features)

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Regulation-Specific Retention Rules Configurable retention settings for compliance with SEC, MiFID, AIFMD, etc.		No information available
WORM (Write Once, Read Many) Support Technological support for immutable storage required for compliance.		No information available
Audit Trail Generation Automatic and comprehensive audit trail for user/document actions.		No information available
Access Certification Workflows Process for periodic recertification and validation of access rights.		No information available
Legal Hold Management Support placing and removing legal holds for litigation readiness.		No information available
GDPR and Privacy Support Controls and settings to satisfy GDPR and other privacy laws.		No information available
eDiscovery Tools Built-in support for document collection and export for audits or investigations.		No information available
Compliance Policy Enforcement Capabilities to enforce internal and regulatory document policies.		No information available
Automated Compliance Reporting Automatic generation of compliance status and incident reports.		No information available
Customizable Audit Fields Track and include client-specific fields in audit logs.		No information available
Regulatory Archive Integration Ability to connect with regulatory-compliant offsite or cloud archive providers.		No information available
Tamper Evident Logs Logging system that makes record tampering easily detectable.		No information available

Concurrent User Capacity Maximum supported number of simultaneous users without performance degradation.		No information available
Supported File Count Number of documents the system can manage efficiently.		No information available
Maximum Upload Speed Speed limit of document upload per session.		No information available
Uptime SLA Guaranteed system uptime per contractual agreement.		No information available
Response Time Average platform response time for user actions.		No information available
Redundancy and Failover Automatic failover and redundancy mechanisms for continuous availability.		No information available
Load Balancing Built-in load balancing to distribute user activity evenly.		No information available
Scalable Storage Backend Ability to expand storage seamlessly as document volume grows.		No information available
Multi-Region Deployment Deploy system instances across multiple regions for performance and disaster recovery.		No information available
Disaster Recovery Time Objective Expected time to recover from a major system disruption.		No information available

Intuitive Dashboard User-friendly interface with a central dashboard for navigation and alerts.		No information available
Customizable Views Users can customize views and sort orders to fit individual preferences.		No information available
Accessibility Compliance Support for ADA/WCAG accessibility standards.		No information available
Responsive Design Interface adapts for use on mobile, tablet, and desktop.		No information available
Multi-Language UI User interface can be displayed in multiple languages.		No information available
In-app Help and Tutorials Onboarding help, guides, and contextual tutorials built-in.		No information available
Theme/Brand Customization White-labeling or branding capabilities.		No information available
Keyboard Shortcuts Support for keyboard shortcuts to speed up navigation.		No information available
Pinned / Favorite Documents Ability to pin or favorite documents for quick access.		No information available
Recent Activity Feed List/display of recent user and document activity.		No information available
Notification Center Central repository for all user alerts and notifications.		No information available

Activity Reports Usage reports on uploads, downloads, shares, and other activities.		No information available
Document Lifecycle Reports Reporting on document creation, changes, and deletion history.		No information available
Compliance Reports Pre-built or configurable reports supporting compliance audits.		No information available
System Health Dashboards Visualization of system uptime, usage, and performance metrics.		No information available
Custom Report Builder Ability for users to build and schedule custom reports.		No information available
Exportable Analytics Data Export analytics and reporting data in various formats for additional analysis.		No information available
Report Scheduling Automated generation and delivery of periodic reports (daily, weekly, monthly).		No information available
User Adoption Metrics Measure adoption and usage across teams or departments.		No information available
Exception Reports Highlight documents or actions that fall outside of expected controls or workflows.		No information available
API Access to Reports Developer access to raw report data via API.		No information available

Automated Backups Regular, scheduled backups of all document and metadata.		No information available
Backup Frequency Interval at which backups are performed.		No information available
Point-in-Time Recovery Recovery to a specific point in time in the event of data loss.		No information available
Offsite Backup Storage Copies of backups stored in geographically separate locations.		No information available
Recovery Time Objective (RTO) Estimated time required to restore service after an incident.		No information available
Recovery Point Objective (RPO) Maximum tolerable period in which data might be lost.		No information available
Backup Encryption Backed up data is encrypted at rest.		No information available
Disaster Recovery Testing Regular, scheduled disaster recovery drills/tests.		No information available
Continuous Data Protection Real-time or near real-time backup for critical documents.		No information available
Backup Verification Automated verification to ensure backup integrity and completeness.		No information available

Native Mobile Apps Availability of dedicated iOS and Android applications.		No information available
Mobile Browser Optimization Web interface optimized for mobile browser use.		No information available
Offline Document Access Ability to view key documents without an active internet connection.		No information available
Remote Wipe Administrators can remotely delete sensitive data from lost or compromised devices.		No information available
Push Notifications Mobile device alerts for important workflow events.		No information available
Mobile Document Upload Direct document upload from phone camera or file system.		No information available
Mobile Biometric Login Use of device biometrics (fingerprint, FaceID) for authentication.		No information available
Device Enrollment Limits Maximum number of devices that can be registered per user.		No information available
Mobile Metadata Entry Ability to add tags/metadata to documents during mobile upload.		No information available
Mobile Notifications Customization User management of which events trigger mobile alerts.		No information available

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Financial Technology Year

Broadridge Fund Document Management from Broadridge Financial Solutions

Product analysis by function

Document Management Systems for Fund Operations

Document Storage and Organization (0 Yes /0 Known /14 Possible features)

Document Access and Security (0 Yes /0 Known /14 Possible features)

Search and Retrieval (0 Yes /0 Known /13 Possible features)

Workflow Automation and Collaboration (0 Yes /0 Known /13 Possible features)

Integration and Interoperability (0 Yes /0 Known /12 Possible features)

Compliance and Regulatory Features (0 Yes /0 Known /12 Possible features)

Performance and Scalability (0 Yes /0 Known /10 Possible features)

User Experience and Interface (0 Yes /0 Known /11 Possible features)

Reporting and Analytics (0 Yes /0 Known /10 Possible features)

Backup, Recovery, and Business Continuity (0 Yes /0 Known /10 Possible features)

Mobile and Remote Access (0 Yes /0 Known /10 Possible features)

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Document Storage and Organization
(0 Yes /0 Known /14 Possible features)

Document Access and Security
(0 Yes /0 Known /14 Possible features)

Search and Retrieval
(0 Yes /0 Known /13 Possible features)

Workflow Automation and Collaboration
(0 Yes /0 Known /13 Possible features)

Integration and Interoperability
(0 Yes /0 Known /12 Possible features)

Compliance and Regulatory Features
(0 Yes /0 Known /12 Possible features)

Performance and Scalability
(0 Yes /0 Known /10 Possible features)

User Experience and Interface
(0 Yes /0 Known /11 Possible features)

Reporting and Analytics
(0 Yes /0 Known /10 Possible features)

Backup, Recovery, and Business Continuity
(0 Yes /0 Known /10 Possible features)

Mobile and Remote Access
(0 Yes /0 Known /10 Possible features)