Transform compliance complexity into a simplified communication process with our advanced regulatory document management system. Our holistic, data-driven solutions empower you to solve variable annuity and variable life regulatory challenges with ease.
Streamline the creation, tagging, and filing of regulatory documents while optimizing print and digital communication workflows. Broadridge provides fully integrated regulatory document management and distribution solutions, or you can leverage only the capabilities that best fit your needs.
Centralize and manage policy holder communications data with a platform that supports automated client communications and standardizes files from various sources. Apply business rules with industry-leading logic regarding:
Post-delivery reports provide clear insights into engagements and links to the documents sent. It all adds up to efficient engagement that accounts for the who, what, when, and how of every regulatory send.
Establish a single point of contact, regardless of fund family. Our familiarity with insurance company data, controls, and proxy processes enables us to act as a central coordination point between issuers and external vendors.
Incentivize more votes at a lower cost. Select ballot templates for fund proxies across fund families, make voting an easy and repeatable process, and apply the same approach to additional solicitations for every vote.
Be sure that the data is in line with positions reported by the fund. Extensive experience with large providers allows us to process complex requirements and apply votes with accuracy. Entrust data security to ISO 27001-certified experts and maintain dependable records with annual SSAE18 audits and seven-year audit trails.
Our communications ecosystem and regulatory document management system drives results at every step. Get the VA/VL solutions that keep up with evolving rules and investor demands through automated client communication and secure document delivery solutions
EDGAR®, EDGAR Next®, and SEC® are trademarks of the U.S. Securities and Exchange Commission. Broadridge’s products and services are not affiliated with or approved by the U.S. Securities and Exchange Commission.