Security Capabilities

Your Data is Our Biggest Concern

Mitigating security risks in a constantly changing environment is something Broadridge takes seriously. Banks, broker-dealers, issuers, mutual funds and institutional investors, worldwide trust Broadridge to securely process and distribute the securities data and investor information that drives their businesses and the global marketplace. Broadridge distributes more than 1 billion investor communications on behalf of its clients each year. In addition to the Investor Communications business Broadridge processes an average of 3 million equity trades and more than $3.5 trillion in fixed-income settlements on behalf of our clients daily.

Broadridge is one of only nine U.S. data processing services providers to the financial services industry that is ISO 27001 certified as of February 2011. ISO 27001 certification is the world’s highest accreditation for information protection and security.

As with our products and services, Broadridge is committed to providing the highest level of technology to safeguard our clients’ valuable information.

To protect the technology infrastructure that stores, processes and transmits our clients’ confidential information, Broadridge has a dedicated and trained Information Security team with the sole purpose of managing Broadridge’s internal and external security efforts including securing our facilities and data centers, educating our associates and most importantly, protecting our clients’ confidential information.

Our advanced technology combined with a comprehensive information security program validated by ISO 9001/27001 certifications, SAS 70/CICA 5970 Type II audits, Sarbanes-Oxley reviews and FFIEC audits highlight our firm commitment to a comprehensive security platform.

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