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Smart Solutions for Reg BI

Regulation Best Interest Consulting and Compliance

Leverage practical know-how and a full range of solutions to check all the boxes for your Reg BI requirements. With unique industry perspective, hands-on expertise and powerful, modular solutions, Broadridge makes it easy to step up to Form CRS and Standard of Care obligations.

Compliance for today and tomorrow

Form CRS distribution may mark the first tangible measure of successful Reg BI compliance, but it is just the start. Harness the tools to create, trigger and manage ongoing disclosures. Discover how you can mitigate conflicts of interest, streamline compensation management and demonstrate compliance at every turn. End-to-end or a la carte, Broadridge Smart Solutions for Reg BI adds efficiencies, increases visibility and helps to provide a compliant audit trail.

Form CRS

Duty of Care

Compliance

Conflict of Interest

Disclosure

Advisor Training

Achieve a higher Standard of Care

Leverage scalable Reg BI solutions. From compensation management to compliant practices and procedures, training and education to documentation and archival tools, Broadridge has you covered.

How We Can Help

Benefit from a one-of-a-kind vantage point

5,000+

Corporate Issuers

140M+

Retail Shareholder Accounts

$420B

Assets Under Administration

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Reg BI Disclosures Made Easy

Reg BI Disclosures Made Easy

Mitigate Conflicts of Interest (RegBI BRAC)

Mitigate Conflicts of Interest (RegBI BRAC)

Simplify Suitability Analysis for Reg BI Compliance

Simplify Suitability Analysis for Reg BI Compliance (RegBI FundPoint)

Tailor-Made Training for Reg BI Compliance (Reg BI Essentials)

Tailor-Made Training for Reg BI Compliance (Reg BI Essentials)

Meet Obligations. Exceed Expectations.

Meet Obligations. Exceed Expectations.

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