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Regulatory Communications

Simplify regulatory communications and improve the investor experience

Optimize regulatory communications to investors with our omni-channel solutions. We help mutual funds and ETF providers simplify processes and reduce costs while enhancing the investor experience.

Better results with efficient regulatory compliance

Broadridge provides a complete platform for creating and distributing regulatory investor communications across multiple channels, including print, e-delivery, online and mobile.

Regulatory Document Library

Automated Workflows

Proprietary EDGAR Sourcing

Compliance Management

Digital Experiences

A total solution to help mutual funds and ETF providers manage regulatory communications

Manage all of your regulatory communications to investors on a single platform

We offer a total solution for distributing timely, accurate communications via proprietary EDGAR-sourcing technology, an industry document library and digital capabilities.

Quickly Adapt to a Changing Regulatory Environment

Regulatory Print Mailings

Combine cost efficiency and control

Enterprise Data Management standardizes multiple data feeds, applying suppression, householding and abiding by custom client business rules
Shareholder Mail can cut up to 100% on print costs, improve cash flow and eliminate chargeback hassles
Offset Print Management integrates offset print with a fully managed process that combines cost efficiency and quality control

Digital Experiences

Meet your customers' communications needs

Prospectus Express® provides embedded links to the most accurate and
up-to-date documents on EDGAR
Consent Express is our patented consent management process that meets industry regulations and ESIGN requirements

Regulatory Notices

Expand distribution capabilities

Statement Composition generates branded statements and delivers them in a timely fashion across multiple reporting platforms
Statement Production offers an extensive print operation accustomed to the time-critical production of documents to help meet industry regulations
Print and Mail Distribution is state-of-the-art processing equipment used to apply postage, reducing damages and distortion
Our PostEdge™ solution puts electronic correspondence in your clients' reach quickly, efficiently and securely

See Product Specifications

Video

Making Every Communication More Valuable

Learn how to capture opportunities to create engaging communications that build customer touch points, trust and loyalty.

HOW WE CAN HELP

Let our team help you achieve your goals.

75%+

Of North American mailboxes reached by Broadridge communications.

2.9B

Documents delivered for clients annually.

1,678

New CUSIP filings on EDGAR daily.

Report

The Future of Marketing and Regulatory Communications

Resource

Data-driven Content Management with RealTime Content

Resource

Create Regulatory Fund Documents with DocuBuilder

Article

30e-3 for VA/VL Providers: Are You Ready?

Fact Sheet

Streamline summary prospectus compliance

Case Study

Achieve Regulatory Compliance & Improve Investor Experience

Resource

SEC Rule 30e-3 Provides for Optional Internet Availability of Shareholder Reports

Resource

A Straight Through Process to Comply With the MiFID II Article 50 Requirements

Fact Sheet

Regulatory Communications Solutions for Asset Managers

Resource

Asset Management Regulatory Insights

Photo: Telecom sales rep meets with a new customer, demonstrating electronic communications capabilities

Let’s talk about
what’s next for you

Our representatives and specialists are ready with the solutions you need to advance your business.

REQUEST INFORMATION

22c-2 Compliance

Advisor Resource Center

Advisor Websites

Annual Compliance

Asset Servicing

Bank Debt and Loan Trading

Beneficial Proxy Services

Billing and Expense Management

Capital Markets Disclosures

Cash Management

Collateral Management

Connectivity

Consumer Preference and Profile Management

Continuing Education

Credit and Market Risk

Data Management and Archival

Data Management, Analytics and Reporting

Derivatives Trade Processing

Digital Delivery

Digital Experience Management

Direct Marketing

Document Composition

EDGARForms

Enhanced Packaging

Enhanced Proxy Design

Equity Trade Processing

ESG Advisory Services

Expense Management and Fee Validation

Expense Management business process outsourcing

Financial Reporting

Fixed Income Trade Processing

Foreign Exchange Trade Processing

Global Securities Class Action Services

Global SWIFT Services

Intelligent Prospecting

Intraday Risk Monitoring

Investment Accounting

Managed Services, Hosting and Integration

Newsletters

Operational Risk Management

Performance and Attribution

Performance Dashboards and Operational Reports

Portfolio and Order Management

Portfolio Securities Voting

Post Trade and Regulatory Compliance

Pricing and Valuation

Print Delivery and Postal Optimization

Print Marketing

Private Fund Compliance Reporting

Proxy Services

ProxyVote

Rapid Onboarding

Reconciliation

Reconciliation Managed Services

Reference Data Management

Registered Proxy Services