Next Steps: Once Your Integration is Approved

Overview: After a data integration is approved, there are several important steps to complete before the account is fully ready for reporting and ongoing monitoring. These steps may include confirming the account connection, reviewing imported holdings, applying any necessary Sync Rules, checking for data feed updates, and understanding how data will appear between reporting periods. This article outlines the post-approval process, what to review after the initial setup, and how to manage integrated account data going forward.

Please note: Your data integration will update investment and asset information only. Any other client details will need to be entered and updated manually. 

For assistance in importing your integration data, click here. 

Skip to...Zero Balance Holdings, Sync Rules, Viewing Integration Feed Data Between Quarters, How to Check for Data Feed Updates Between Quarters

Zero Balance Holdings

Broadridge Fiduciary Governance Solutions works with many industry partners to import client account holdings. Although these feeds are continuously being improved, some providers do not currently include funds with a $0 balance in the account or plan portfolio. At this time, the following providers may exclude zero-balance holdings:

• Advyzon
• Nationwide (only if no asset values were available during the initial integration setup)
• Orion

This list may change as provider data feeds are updated.

 

 

 

Sync Rules

Sync Rules are available for clients with active provider integrations. They let you control which investments are included in or excluded from the holdings data received through the integration feed. Essentially, they allow you to override specific data from the incoming data file.

 

There are two types of Sync Rules:

• Include: Adds an investment that is not present in the feed.
• Exclude: Removes an investment from the feed so it is no longer included.

Please note:

• Once created, Sync Rules remain in place until you change or delete them.
• Sync Rules must be applied before the monthly data sync in order to affect the next incoming feed.

Before creating a Sync Rule:

• Add the fund(s) first if you plan to create an Include rule.
• Remove the fund(s) first if you plan to create an Exclude rule.

How to set up Sync Rules

• Go to the client’s Active Accounts screen.

• Click the action button (the three vertical dots on the right side of the account).
• Select Edit Account.

• Click Set Sync Rules.
• If rules already exist, this button will appear as Edit Sync Rules.

• In the search box, begin typing the investment’s Name, Ticker, or CUSIP. Select the correct investment from the dropdown list.
• Click the blue + button.
• Choose whether to Include or Exclude the investment.
• The selected investment and rule will appear below.
• Click Save in the bottom-right corner of the screen.

Please Note: Sync Rules will remain in effect until they are manually updated or removed.

Viewing Integration Feed Data Between Quarters

Integration data feeds are received at least once per month and typically update using the previous month’s data. When a quarter closes, the system locks the final reported as-of date for that quarter. Any data received after that point is placed into the next quarter, sometimes referred to as the future quarter.

 

You can view this data from the client’s Holdings screen.

 

If holdings appear in the future quarter:

• Monitoring Reports cannot be run
• The Current Evaluation column will display Data Unavailable
• Investment Research reports can still be generated using the Generate Report button

How to view future quarter data

• Open the client record.

• Navigate to the Holdings screen.
• In the upper-right corner, click the quarter tab.
• Select the available future quarter or a previous quarter.

How to Check for Data Feed Updates Between Quarters

To confirm whether an integration data feed has been updated, navigate to the Clients tab once logged into your account. Click on Advanced, and reference the Feed Updated column. 

Additional data can also be viewed here, like the date of the last Monitoring Report, the Assets As Of date, and the Asset values of the client. 

Before generating a quarterly Monitoring Report for a client connected to an integration data feed, verify that the Feed Updated column aligns with the Latest MR column. If those values align, the integration feed data, including funds and asset values, and the fund performance data are current. 

As a general guideline, integration data feeds should be updated by the 20th business day after quarter-end.