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Broadridge Regulatory Reporting Solutions for Treasury from Broadridge Financial Solutions
Automates global and local regulatory reporting, EMIR, MiFIR, SFTR and more, with comprehensive data validation, exception management, and audit-ready reporting for treasury operations.
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Product analysis by function
Regulatory Reporting Solutions for Treasury Compliance
Platforms that automate the preparation and submission of reports required by financial regulators, such as EMIR, Dodd-Frank, and MiFID II.
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Regulatory Coverage
(0 Yes /0 Known /11 Possible features)
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Supported Regulations List of regulations that can be automatically reported to (e.g., EMIR, Dodd-Frank, MiFID II, SFTR, MAS, ASIC). |
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Jurisdiction Flexibility Ability to add or modify supported jurisdictions and regulatory frameworks as requirements evolve. |
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Customizable Report Templates Customizable templates for various regulatory reports. |
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Cross-jurisdictional Reporting Simultaneous reporting to multiple regulatory bodies across jurisdictions. |
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Historical Regulation Support Ability to process and report legacy data for past regulatory periods. |
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Automatic Regulation Updates Automatic updates in response to changes in regulatory requirements. |
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Regulator-specific Formatting Native support for specific file formats required by different regulators (e.g., XML, CSV, FIX). |
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Pre-validation Against Regulation System validates data compliance with applicable regulations before report submission. |
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Multi-entity Support Can handle reporting for multiple legal entities within a corporate group. |
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Dual-sided Reporting Supports both reporting parties (buyer/seller or submitter/counterparty for trades). |
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Regulatory Guidance Integration Direct integration of current regulator interpretative guidance and FAQs. |
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Automation & Workflow
(0 Yes /0 Known /10 Possible features)
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Automated Data Aggregation Automatic aggregation of required data from multiple internal and external systems. |
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Real-time Data Processing Processes data and prepares reports in real-time rather than batch or scheduled processing. |
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Workflow Customization Customizable approval and submission workflows. |
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Exception Management Automated identification, alerting, and handling of exceptions in regulatory reporting processes. |
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Scheduled Reporting Ability to schedule automated generation and submission of regulatory reports. |
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Manual Override Option for users to manually intervene in the workflow when required. |
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Dashboards Dashboards summarizing status, issues, and key metrics across workflows. |
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End-to-end Audit Trail Comprehensive tracking and logging of all steps in the reporting process. |
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Workflow Step Count Number of automated steps available in workflows. |
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Auto-notifications & Alerts Automated notifications for workflow events (e.g., submission failures, due reports). |
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Data Management
(0 Yes /0 Known /10 Possible features)
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Data Integration Connectors Out-of-the-box and/or customizable connectors to ERP, Treasury Management, trading, and settlement systems. |
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Data Validation Rules Predefined and user-configurable data validation rules to ensure data integrity and compliance. |
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Data Enrichment Capabilities Ability to enrich collected data with regulatory-required fields and reference data (LEIs, UTI/USI generation). |
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Data Transformation Engine Engine for mapping, converting, and normalizing data from various sources/formats. |
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Data Quality Monitoring Continuous monitoring and reporting of data quality metrics. |
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Data File Size Support Maximum data file size accepted for reporting. |
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Missing Data Alerts Automated alerts for missing or incomplete data elements required for reporting. |
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Master Data Management Integration Integration with enterprise master/reference data management systems. |
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Data Retention Policy Configuration Ability to set retention periods for storing reported data in compliance with regulation. |
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Data Lineage Tracking Tracking origin, transformation, and movement of data used in reporting. |
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Connectivity & Integration
(0 Yes /0 Known /9 Possible features)
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Standard API Support REST, SOAP, or other industry-standard APIs for integration. |
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Message Protocol Support Support for required reporting protocols (e.g., SWIFT, FIX, SFTP). |
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Third-party Repository Integration Out-of-the-box connectivity to trade repositories, ARMs, TRs, and national regulators. |
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Direct Regulator Gateway Integration Direct interface to regulatory submission portals and gateways. |
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Integration Onboarding Speed Average time required to onboard and configure new integration. |
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Inbound/Outbound File Formats Supported Range of formats supported for data import/export (XML, CSV, JSON, Excel, etc.). |
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Real-time Integration Supports real-time, event-based data exchange in addition to batch. |
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Integration Monitoring Tools Dashboard or logs for monitoring the status of integrations. |
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Custom Interface Configurability Ability for users to create and configure custom integrations without vendor intervention. |
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User Experience & Usability
(0 Yes /0 Known /9 Possible features)
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User-friendly Interface Modern, intuitive, and clean UI design. |
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Multi-language Support Interface localization into multiple languages. |
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Role-based Dashboards Customizable dashboards based on user roles and permissions. |
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Quick Search Fast and easy searching of submitted, pending, or failed reports. |
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Bulk Actions Ability to process and manage multiple transactions/reports at once. |
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Contextual Help Integrated help, tutorials, and tooltips contextually within the application. |
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Progress Indicators Visual indication of process/report status. |
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Mobile Device Compatibility Responsive or dedicated applications for mobile devices. |
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Accessibility Compliance Complies with relevant accessibility standards (e.g., WCAG). |
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Security & Compliance
(0 Yes /0 Known /9 Possible features)
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End-to-end Encryption Encryption of data in transit and at rest. |
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Role-based Access Control Access to features/data is controlled based on user roles and responsibilities. |
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Identity Management Integration Single sign-on and federated identity support (SAML, OIDC, etc.). |
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Multi-factor Authentication Requires multi-factor authentication for access. |
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Audit Logging Comprehensive logs of user and system activity for auditing. |
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Certification Standards Meets external certifications (ISO 27001, SOC 2, etc.). |
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Privacy Impact Assessment Tools Tools for regular privacy and GDPR/CCPA compliance assessments. |
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Breach Notification Mechanism Automated alerting and notification in the event of a security breach. |
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Anonymization/Pseudonymization Supports data anonymization/pseudonymization methods as required. |
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Transparency & Auditability
(0 Yes /0 Known /8 Possible features)
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Detailed Audit Trail Comprehensive records of all interactions, submissions, and data changes. |
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User Action Log Recording of user-initiated actions for traceability. |
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Read-only Audit Access External and internal auditors can be granted access to view records without the ability to edit. |
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Change History Versioning and tracking of changes to data and configurations. |
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Regulatory Submission Proof Full evidence/logs of regulatory submission (including timestamps, confirmations, and reference IDs). |
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Audit Export Options Exportable logs/audit records in various standard formats. |
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Time-stamped Records All key events are accurately timestamped. |
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Retention Policy Compliance Automatically enforces data retention and destruction policies as per regulation. |
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Performance & Scalability
(0 Yes /0 Known /7 Possible features)
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Report Generation Speed Average time to generate a standard regulatory report. |
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Concurrent User Support Max number of users able to interact with the platform simultaneously. |
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Report Capacity Maximum number of reports that can be generated/submitted per day. |
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Data Volume Handled Maximum volume of transaction data processed per reporting cycle. |
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Scaling Method Nature of scalability (horizontal, vertical, cloud auto-scaling, etc.). |
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System Uptime SLA Guaranteed uptime of the regulatory reporting service. |
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Latency Average end-to-end latency from report initiation to submission. |
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Monitoring & Reconciliation
(0 Yes /0 Known /7 Possible features)
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Automated Reconciliation Engine Automatic matching of internal records with regulator/TR receipts and confirmations. |
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Exception Reporting Flagging and reporting of mismatches, rejected submissions, or errors. |
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Discrepancy Resolution Workflow Guided workflow to resolve and remediate reconciliation breaks. |
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Real-time Status Monitoring Visual indicators of submission status and completion. |
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Automated Notification of Failures Automated alerts for failed or delayed submissions. |
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Report Re-submission Ability to quickly edit and resubmit failed or amended reports. |
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Reconciliation Frequency Frequency with which reconciliation is performed. |
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Support & Vendor Services
(0 Yes /0 Known /9 Possible features)
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24/7 Support Availability Round-the-clock access to support staff or helpdesk. |
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Onboarding and Training Structured onboarding and ongoing training offerings for users. |
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Knowledge Base/Documentation Comprehensive, regularly updated user documentation. |
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Customer Success Manager Dedicated account/service manager assigned. |
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Incident Response Time Average time to respond to critical incidents. |
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User Community/Forums Access to user communities for knowledge sharing and peer support. |
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Customization Services Availability of expert services to tailor the solution. |
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Release/Upgrade Frequency How often new features or updates are made available. |
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Client Base Size Number of organizations currently using the vendor's solution. |
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Reporting & Analytics
(0 Yes /0 Known /8 Possible features)
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Custom Report Builder Tool to design and create custom analytical reports. |
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Standard Library of Regulatory Reports Out-of-the-box analytical reports for common regulatory and operational needs. |
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Trend Analysis Tools Visualization and analysis of historical and real-time reporting trends. |
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Export/Download Analytics Ability to export analytical data for further offline analysis. |
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Ad hoc Query Tools Powerful query and filter capabilities for investigating specific issues/events. |
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Data Visualization Widgets Visual dashboards and charts for submitting, pending, or failing items. |
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KPI Measurement Tools to measure user-defined KPIs related to reporting efficiency and accuracy. |
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Regulatory Breach Analytics Analysis and reporting on events where regulations were breached. |
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