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Regulatory Communications

Simplify regulatory communications and improve the customer experience

Get the right regulatory communications to customers using our omni-channel regulatory communications solutions. Our data-driven solution simplifies compliance, reduces costs and improves the customer experience.

Better results with efficient regulatory compliance

Broadridge's Regulatory Solutions is a complete platform for creating and distributing regulatory communications across multiple channels, including print, e-delivery, online and mobile.

Regulatory Document Library

Automated Workflows

Proprietary EDGAR Sourcing

Compliance Management

Digital Experiences

Manage all your regulatory communications 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
Portfolio-Specific Printing helps you avoid over delivery and reduce costs by digitally printing personalized content relevant to individual holdings
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

Optimize web display and e-delivery

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
Consent Accelerator increases e-delivery rates by 10%-20% or more leveraging consents already collected in Broadridge's database
Variable Products Express links annuity product contracts to all fund subaccounts, creating a better web experience

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

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.

Article

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

Resource

Retirement Insights

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Report

The Business Case for Regulatory Mail Innovation

Video

Intelligent Fulfillment Solutions Puts You in Control

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Video

Broadridge Making Every Communication More Valuable

Photo: Three sets of hands working on devices in a lightfilled room

White Paper

Digital Transformation of Insurance Communications

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

Compliance and Regulatory Accounting Managed Services

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

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Equity Trade Processing

ESG Advisory Services

Expense Management and Fee Validation

Expense Management Managed Services

Financial Reporting

Fixed Income Trade Processing

Foreign Exchange Trade Processing

Global Securities Class Action Services

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Intelligent Prospecting

Intraday Risk Monitoring

Investment Accounting

Managed Reference Data Service

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

Post Trade Processing Managed Services

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

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