22c-2 Compliance For Mutual Funds and ETF ProvidersBroadridge
Minimize risk in an increasingly complex regulatory environment by automating compliance monitoring and reporting. Our rules-based compliance solution aggregates data across intermediary platforms, flagging potential trading violations in real time.
Product details
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.
- Monitors Trading Activity
- Identifies Market Timing
- Analyzes Short-Term Trading
- Monitors Internal Trading
- Manages Relationships
- Maintains Compliance Data
Features
- **Streamlining 22c-2 compliance: **Our integrated tool monitors transaction data across all intermediary platforms and applies market-timing rules to identifying compliance violations.
- **A "best practice" approach to workflows and analytics: **Broadridge experts monitor rules and workflows related to 22c-2 compliance by overseeing all related data requests, responses, processing, analysis and enforcement activity.
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