Proxy Processing

  • Fully automated proxy voting, including recommendations from industry-leading and third-party proxy research firms.
  • Distribution of required regulatory mailings, including mutual fund prospectuses and financial reports, in print or electronically (with fully integrated consent obtainment/management and e-fail processing).
  • – Broadridge’s internet proxy voting website allows your clients to easily and conveniently vote their proxies.
  • Online archival of compliance reports, including distribution and votes processed.
  • Omnibus account reconciliation, over-vote protection and end-to-end vote confirmation—unique quality control checks, offered only by Broadridge, help ensure votes are accepted and counted by tabulators.

We are fully prepared to meet your vendor review requirements by providing our annual SSAE16, business continuity and disaster recovery plan, insurance certificates, and any comprehensive data security or confidentiality information requested.

With Broadridge’s unmatched expertise and infrastructure, you and your customers can be confident that your data is protected and secure.

Additional Services

Cost Basis and Corporate Action Information: Portfolio-specific email alerts for corporate actions that impact holdings, providing details including cost basis adjustment.  A historical database of corporate actions and a Cost Basis Calculator are available.

ReorgPlus®: Reorganization notification mailings quickly notify shareholders of tender offers, mergers, acquisitions, and other corporate actions.

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