Post-Sale Prospectus Fulfillment – Expect Fulfillment for Results and Compliance

Only Broadridge, can provide the expertise and innovative technology to help you efficiently manage your Post-Sale fulfillment obligations. From electronic delivery and combined mailing to intelligent suppression technology, Broadridge has the scale, capacity, and infrastructure to enable you to communicate with investors while saving you time and money, by streamlining the entire Post-Sale communications process.

Clients that leverage Broadridge's Post-Sale Fulfillment Solution Can:

• Leverage Broadridge's New Inline Print on Demand technology, traditional pick and pack and electronic delivery options to assist with meeting T+1 and Settlement Date compliance and oversight requirements
• Eliminate all printing, processing and postage costs associated with traditional fulfillment by implementing Broadridge's Electronic Delivery and Suppression options
• Reduce postage expense by utilizing our combined mail feature
• Reduce the costs associated with separate confirmation mailings with our confirm-enclosed option
• Leverage our relationship with UPS Mail Innovations® to achieve a reduction on postage for eligible mailings
• Reduce postage costs due to our scale and ability to utilize Presort Mail processing
• Dedicated Client Service Representative and including evening coverage for West Coast clients

What Makes Broadridge Different

Premier Information and Data Security

• Tier IV and Tier III data centers
• Broadridge is distinguished as one of less than 80 companies in the United States that is ISO 27001:2005 certified.

Superior Quality Measures and Controls

• Our security is matched by our quality control processes and procedures and is evidenced by the ISO 9001:2008 certification of our quality management systems.
• SAS 70 Type II Audit in accordance with Statement Auditing Standards (SAS 70) established by the American Institute of Certified Accounts (AICPA).

Scale
Broadridge’s scale is evidenced by our Fiscal 2011 volumes based on overall Post-Sale requests.

• Total Post-Sale requests processed Over 139 Million
• Total Trades Suppressed 29%
• Total Trades e-delivered 16%
• Total Paper Elimination 65%

Innovative Technology
Recent innovations include our Summary Prospectus Inline Print on Demand solution and our online secure web based portal Prospectus View™.

Broadridge is committed to continually investing in its technology infrastructure to meet the needs of its clients and assist them in day-to-day operations and with responding to regulatory and industry changes.

Expansive Inventory
With Broadridge’s inventory of prospectuses, electronic library and new print on demand technology; you can feel confident that we can support all of your post-sale needs.

• 185,000+ unique prospectuses
• 10,000+ unique mutual fund prospectuses
• 7,000 + unique summary prospectuses
• 515,000+ unique CUSIPs
• 600+ Mutual Fund companies

Flexibility that Meets Your Needs
Broadridge has six methods of delivery to facilitate your mailings:

• USPS
• UPS Mail Innovations®
• Federal Express®
• UPS®
• Courier Services
• Pick-Up