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Fact Sheet

Securities Class Action

Deliver superior client service with digital class-action notifications.

New Rules Mean New Opportunity

Effective December 1, 2018—Changes to Federal Rule of Civil Procedure 23 permits digital delivery for securities class-action notification. Prior to the change, direct notices were generally required to be distributed to class members by first-class mail. Under the amended rule, digital notifications are permitted, subject to the approval of the court. That’s good news for your clients and even better news for you.

Take Advantage of New Rule Changes That Enable Electronic Delivery

  • Seamlessly transition to digital notification.
  • Create a better customer experience, from start to finish.
  • Reduce costs and accelerate service time.
  • Maximize participation and recovery.
  • Leverage Broadridge’s proven processes and infrastructure.
  • Rely on the industry leader in regulatory communications.

Reach Investors On Time, Via Channels They Prefer

Digital delivery ensures fast, accurate, responsive client service. Enjoy a smooth transition to digital when you leverage our existing, industry-leading infrastructure. Broadridge delivered 81 million e-distributions in the first half of 2018 alone. The same proven systems brokers and issuers rely on for regulatory communications can distribute digital notifications for classaction cases too. Our solution taps into 600+ global data sources, plus a vast database of client contact information, so you can notify every client, for every case — every time.

Elevate the Client Experience

Now, you can enable clients to view and manage class-action documents electronically alongside other investment-related communications. Users of our e-communication platform can easily synchronize class-action notifications via our existing preference management tools. Plus, your team can track and process class actions with our intuitive online portal, ensuring fast, up-to-date client service. Digital document access combined with consistent, branded emails boosts recovery opportunity and improves client satisfaction.

Priortize Data Security and Privacy

Your reputation matters. That’s why Broadridge’s data security experts employ best practices to ensure world-class protection and privacy. Benefit from five decades of data management and investor disclosure experience. We use threat notifications from leading cybersecurity agencies and hold all relevant quality management certifications, including ISO 27001 and ISO 9001.

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