Intelligent Fulfillment Solutions – Shareholder Mail

The Most Savings on Regulated Mailings

Today, insurance carriers and retirement providers are spending a significant amount on the delivery of “tri-annual” compliance document mailings. More than half of these costs are associated with the delivery of regulated mailings (i.e., semi-annual and annual reports). Unlike first-dollar prospectuses or supplements, which are “transaction driven,” regulated mailings are static documents that can be sent out via a mass mailing to help effectively meet investor disclosure obligations.

Why Pay More for Regulated Mailings When You Are Not Obligated To?

Most participation agreements reveal that the obligation to deliver these regulated mailings lies with the fund company; however, many firms don’t have the infrastructure and/or the reporting capability in place to recoup their delivery costs. Even if a charge-back approach is in place, it can take up to a year or more for the full reimbursement, which can be a strain to your cash flow.

Discover a Mature Solution Proven in the Mutual Fund Space.

Broadridge Shareholder Mail is the Mutual Fund industry standard solution that offers the lowest cost fulfillment model for regulatory mailings, with savings up to 100% off the print cost of these mailings (depending upon the fund company participation agreements). Shareholder Mail currently delivers over 95% of the Mutual Fund industry's broker-held shareholder reports.

Today, we make Shareholder Mail available to the Variable Products and Retirement 403(b) channels through Intelligent Fulfillment Solutions. In addition to cost savings on the delivery of annual and semi-annual report obligations, this best-practice industry utility also improves cash flow, consolidates chargeback accounting and reporting, and reduces print, paper and postage costs.

How It Works:

  • Step 1: The Fund Companies notify Broadridge of upcoming policyholder mailings.
  • Step 2: Broadridge’s enterprise data management (EDM) engine processes according to your business rules. Broadridge EDM applies suppression and householding logic to identify eligible policyholders and to optimize delivery.
  • Step 3: After receiving a count of subaccount holdings from Broadridge, the Fund Company ships materials to Broadridge’s warehouse. Broadridge delivers appropriate materials to investors and captures an audit trail.
  • Step 4: Broadridge direct bills the Fund Companies per your selling agreement – providing savings of 50% or more, and no drag on your cash flow.

Shareholder Mail process

IFS Shareholder Mail

Intelligent Fulfillment Solutions

Deliver investor communications via our Intelligent Fulfillment Solutions (IFS) platform, supporting print, e-mail, and Web-presentment distribution driven by client-specific business rules.

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