Vendor Due Diligence › Vendors › Broadridge Financial Solutions
Broadridge Financial Solutions is a Custodial Platform vendor used by registered investment advisers and other SEC-regulated firms. MTradecraft tracks Broadridge Financial Solutions in its Vendor Due Diligence Portal, where each vendor is researched against a fixed security and regulatory questionnaire — now including a supplemental AI section: every confirmed answer carries a public source URL and capture date, and anything unconfirmed is marked Unknown rather than inferred. Based on its function, MTradecraft classifies Broadridge Financial Solutions as High sensitivity, and it handles client personally identifiable information.
What the full profile covers
- Vendor Information — 11 controlled questions
- Information Security Practices — 29 controlled questions
- Training & Oversight — 2 controlled questions
- Cyber Incidents & Testing — 3 controlled questions
- Confidentiality & Compliance — 5 controlled questions
Plus identity facts (parent company, HQ jurisdiction, hosting provider), SOC 2 sourcing, and the items only the vendor can attest to — flagged so you know exactly what to request in writing.
Why this matters for your firm
SEC-registered advisers must oversee service providers that touch customer information (Reg S-P, 17 CFR §248.30), maintain a written compliance program covering vendor risk (Rule 206(4)-7), and retain the records that prove the review happened (Rule 204-2). The portal turns that into a defensible, citable record — including a printable report you can file.
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Work at Broadridge Financial Solutions? Complete the vendor self-report questionnaire to add attested answers to this profile.
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Research data may be incomplete or out of date for this vendor; every answer in the portal cites its source and capture date. Confirm anything decision-critical directly with the vendor. Catalog updated 2026-08-05.