Proxy Management Solutions

Complete proxy management from voting through reporting

With increasing requirements for advisors and managers to comply with SEC regulations regarding proxy voting procedures and record keeping, ProxyEdge® is the internet solution that helps clients achieve compliance and streamline voting with minimal effort.

ProxyEdge is an electronic voting solution that simplifies the proxy management process. The system helps manage meeting notification, voting, tracking, mailing, reporting, record maintenance and vote disclosure rules enacted by the SEC.

Key benefits

• Manage, track, reconcile and report proxy voting through electronic delivery of ballots
• Vote electronically, eliminating paper proxies
• Reduce paper and reduce your carbon footprint
• Satisfy SEC requirements regarding vote reporting and record keeping
• Improve control and efficiencies with automated voting rules and integrated vote recommendations

Portfolio securities voting

The Dodd-Frank Wall Street Reform and Consumer Protection Act amends the Securities Exchange Act of 1934. Section 14A (15 USCS § 78n-1) is new and provides for a nonbinding shareholder vote on executive compensation, also known as the “say-on-pay vote.”

Who is affected?
All institutional investors with over $100 million in discretionary assets, typically 13F filers.

What is required?
You will be required to file Form N-PX annually to disclose proxy votes related to executive compensation proposals.

What are the challenges facing institutional investors?
The process of identifying, isolating and filing on specific say-on-pay proposals takes additional time, resources and can create compliance risk if there are any errors or missed deadline dates.

How can Broadridge help?
We maintain a complete proposal code list and can utilize your voting captured in ProxyEdge to compile the information for you and automatically file with SEC on your behalf.