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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

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
Video

Broadridge Making Every Communication More Valuable

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

How We Can Help

Distribute communications with dependability

75%+
Of North American mailboxes reached by Broadridge communications.
2.9B
Documents delivered for clients annually.
1,678
The number of new CUSIP filings on EDGAR on an average day.
Photo: Telecom sales rep meets with a new customer, demonstrating electronic communications capabilities Photo: Telecom sales rep meets with a new customer, demonstrating electronic communications capabilities

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