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

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
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

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.

White Paper

Better Equip Advisors for Fiduciary Standards

Report

The Business Case for Regulatory Mail Innovation

Video

Intelligent Fulfillment Solutions Puts You in Control

Video

Broadridge Making Every Communication More Valuable

White Paper

Digital Transformation of Insurance Communications

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

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Regulatory Communications

Simplify regulatory communications and improve 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.

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

Digital Experiences

Regulatory Notices

Mutual Fund Data and Suitability

Distribute communications with dependability

Let’s talk about
what’s next for you