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

Manage all your regulatory communications on a single platform

An end-to-end regulatory communications platform for retirement services providers

We offer a total solution for distributing timely, accurate communications via proprietary EDGAR-sourcing technology, an industry document library and digital, print and mobile 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

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.

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White Paper

Better Equip Advisors for Fiduciary Standards

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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

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White Paper

Digital Transformation of Insurance Communications

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Let’s talk about
what’s next for you

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

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