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Regulatory Communications

Simplify regulatory communications and improve the investor experience

Optimize regulatory communications to investors with our omni-channel regulatory communications solutions that reduce costs while enhancing the investor experience.

Better results with efficient regulatory compliance

Broadridge provides 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
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

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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