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Broadview Asia Pacific

Quarterly market insights for the Asia Pacific region from Broadridge - May 2019.

Broadview Asia Pacific
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Table of Contents
Previous editions

Welcome to this quarter’s edition of Broadview Asia Pacific. As regulatory change continues to be a theme in region, we look at some of the extraterritorial regulations landing in 2020 that will impact Asia Pacific firms.

As the industry evolves, understanding the impact of market change as well as the impact of new technologies is critical for future growth. Chris Perry, Broadridge's Global Head of Sales, Marketing and Client Solutions, joined us in Singapore and shared his learnings from a recent trip to our India innovation centre, as well as his view on why Broadridge is uniquely positioned to help our clients succeed. Watch the video here.

As always, if you have any feedback or questions about the content in this quarter’s update, don’t hesitate to get in touch:

Shareholder Rights Directive: The Impact on Asia Pacific Firms

3rd September 2020 – the countdown has begun. You will be impacted by the Shareholder Rights Directive (SRD) if you:

  • Provide services to shareholders or other intermediaries in respect of a company whose registered office is in the EU, and whose shares are listed on a regulated market in the EU
  • Hold shares of EU-based issuers, listed on a regulated market in the EU

In our latest whitepaper we cover the core areas impacting firms in the proxy voting lifecycle and highlight the opportunity to advance transparency in corporate governance as part of this regulatory change.


Contact us to learn more about the impact of SRD on Asia Pacific firms and how Broadridge can help, and register your interest for our upcoming SRD roadshow.



Hedge Fund Platform Case Study: Preparing for Growth Whilst Improving the Client Experience

Find out how Broadridge supported a leading Asia-based hedge fund platform with an increasingly complex product mix, increasing trade volumes and a growing demand for faster onboarding and local support.



Why You Can’t Ignore SFTR

Securities Financing Transaction Regulation (SFTR) is expected to come in to effect in Q1 2020 and as with several European regulations, the extended mandate has an impact on non-EU firms.

The reporting obligation has 153 reportable fields based on ISO20022 standards, and firms engaging in SFTs will need an efficient, accurate and timely reporting process that is able to meet the requirements.



A Look into Asia Pacific’s Institutional Market

Asian institutional asset owners continue to eye non-traditional asset classes to meet their need for diversification, uncorrelated returns streams, stable income such as property investments, and as a hedge against inflation. Discover more about the Top 10 Trends in Asia Pacific from the Q4 Money in Motion report.




Next-Generation Corporate Actions Automation

Our new cloud-based solution for corporate actions addresses end-to-end asset servicing complexities, helping firms increase efficiency and reduce operational risk. Watch our solution overview to learn more.



Discover Broadridge Insights Specific to Your Business

From our vantage point at the centre of the financial industry, our thought leaders are perfectly positioned to distill insights based on trends, data and the market and regulatory change that impact you the most.






  • 22 – 23 May - SAFAA Annual Conference, Sydney. Meet us at this year’s conference to discuss the latest market trends and find out how we can get you ready for the ASX Chess replacement
  • 30 May - Broadridge Exchange, Tokyo - Broadridge hosted thought leadership event. Let us know if you’re interested in joining
  • June/July – Broadridge Shareholder Rights Directive Roadshow – specific dates and locations to be confirmed


Press Releases

Steering Committee Members

Thomas Broderick
State Street Corporation
Custodial Bank
Lawrence Conover
National Financial Services LLC
Steven Dapcic
Pershing LLC
Michael Garland
The New York City Comptrollers’ Office
Institutional Investor
Stacey K. Geer
Primerica Inc.
Corporate Issuer
Philip Larrieu
California State Teachers’ Retirement System
Institutional Investor
Gloria Lio
Bank of New York Mellon
Custodial Bank
Mark S. Lyon
Synchrony Financial
Corporate Issuer
Michael Marino
Credit Suisse
Custodial Bank
James Monahan
Morgan Stanley & Co. Inc.
Stephen Norman
S.P. Norman & Company, LLC
Committee Chair
William J. O'Shaughnessy
Quest Diagnostics Inc.
Corporate Issuer
Valiere Simpson
TD Ameritrade
Chad Spitler
CamberView Partners
Corporate Issuer
Joseph C. Swanson
The NorthernTrust
Custodial Bank

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