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Regulatory Communications

Simplify regulatory communications and improve the investor experience

Get the right regulatory communications to customers the way they prefer using our data-driven, omni-channel solutions for retirement services providers. Optimize your regulatory communications to simplify compliance, reduce costs and improve the customer experience.

Better results with efficient regulatory compliance

Our complete solution helps retirement services providers create and distribute regulatory communications to customers across multiple channels, including digital, print and mobile.

Regulatory Document Library
Automated Workflows
Proprietary EDGAR Sourcing
Compliance Management
Digital Experiences
Data and Suitability

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

 

Mutual Fund Data and Suitability

Data-driven investor disclosure, updated daily

  • Comprehensive data feeds for mutual funds, ETFs, variable annuities and 529 plans
  • Simplified suitability analysis for fund comparisons and fund share classes
  • Workflows to perform rollover reviews and compare asset allocations models across portfolios
How We Can Help

Distribute communications with dependability

2.9B
Documents delivered for clients annually.
1,678
The number of new CUSIP filings on EDGAR on an average day.
75%+
Of North American mailboxes reached by Broadridge communications.
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

Let’s talk about
what’s next for you

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