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Case Study

Achieve Regulatory Compliance & Improve Investor Experience

Challenge: Managing and reporting on regulatory document fulfillment.

Achieve Regulatory Compliance & Improve Investor Experience

A large variable annuity provider with over 1 million contracts had tremendous difficulty sorting through various systems and reports in order to efficiently manage, deliver and report on regulatory document (e.g., prospectus) fulfillment.

Solution: Data Management and fulfillment via Broadridge

  • Broadridge was able to take in data from multiple systems, aggregate it and apply both best practice and client-specific business rules in order to automate and fulfill on the clients regulatory document requirements, creating a more efficient process for the client with minimal IT strain
  • Broadridge created a reporting dashboard that provides fulfillment information for all 1 million+ contracts (both collectively for the entire population and for the each individual), showing both data on fulfillment and links to each document delivered

Results

“Broadridge became the Client's regulatory data hub. We now provide of data management and fulfillment to ensure all required compliance communications are handled appropriately.”
Rob Ortense