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Broadview EMEA: Summer 2018

A quarterly newsletter with market insights and strategies to help drive business transformation.

Broadview EMEA

Welcome to the Summer 2018 edition of Broadview.

Planning for regulatory compliance, discovering ways to manage pressure on margins and gaining strategies to deal with evolving geopolitical change are among the topics explored in this edition.

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Driving innovation is always high on our agenda. We continue to assess where disruptive technologies like blockchain and artificial intelligence (AI) have the potential to transform business and how they can be best applied to drive benefits for our clients.

You may have seen our recent announcement on the successful completion of a first practical use of blockchain for investor voting at an annual general meeting. The implementation of this award-winning solution that employs blockchain technology was proven to enhance global proxy vote transparency and increase operational efficiency, security and analytics, bringing valuable advantages for investors, issuers, agent banks and custodian banks.

Our blockchain technology supporting the processes for proxy voting and repo agreements received a patent from the U.S. Patent and Trademark Office. Read the press release.

Learn more about our strategy and innovations in this space so far.


Expansion: Buy-side Regulatory Communications

We are now helping asset managers increase efficiency and transform their compliance frameworks in response to new regulations and market practices in European markets. Our recent acquisition of FundAssist Limited, a leading provider of regulatory, marketing and sales documents for global fund managers distributing in Europe, has extended our capabilities and brought a highly talented workforce with a strong reputation for technology innovation and client service.



Keeping up in Today’s Competitive Marketplace

The evolving regulatory landscape and consequences of geopolitical change are intensifying pressure for capital market firms. Philip Taliaferro, Broadridge's Head of Strategy for EMEA/APAC, discusses some of the regulatory obligations that are most impacting firms and the strategies they are implementing to overcome operational challenges.



Planning for SFTR

The projected deadline for the Securities Financing Transactions Regulation is approaching, and firms impacted need to have planning underway. Our online resources page has extensive information to assist firms looking to get plans in place, including:

  • "Prepare for SFTR" webinar replay co-hosted with The Field Effect
  • Video, "Getting Ready for SFTR"
  • Survey infographic on market participants’ readiness
  • Article, "SFTR: Arguments for the Long-Term View"



Getting Ready for the Shareholder Rights Directive

The clock is ticking on individual member countries’ translation of the revised SRD. Demi Derem, Broadridge's General Manager of Investor Communication Solutions International, explores the impending legislative measures and extensive, and potentially expensive, changes related to process reforms and transparency requirements.



A Strategic Approach to Reporting

Mounting costs threaten to overburden firms and expose reporting weaknesses as regulatory obligations grow. David Farmery, Head of Business Development for Broadridge’s trade and transaction reporting business, looks at how MiFIDII and the impending impact of Brexit and SFTR have instigated a move away from an in-house, tactical approach to one of a strategic outlook.



Industry Recognition

In recognition of our success supporting clients through MiFIDII reporting needs, Global Investor Group awarded our trade and transaction reporting solution Best Technology Product of the Year in Regulatory Change. Read More.

At the Risk Technology Awards, Broadridge was recognised as Managed Support Services Provider of the Year. Read More.

Broadridge won Best Outsourcing Provider to the Sell-Side for the third consecutive year. Read More.

Sell-side Technology awarded Broadridge Best Blockchain Initiative. Read More.


Press Releases

Upcoming Events: Engage with Broadridge

London, 12-13 September: Meet our securities finance and collateral management experts at the IMN Beneficial Owners Securities Finance and Collateral Management conference.

Paris, 20-21 September: Connect with Broadridge innovation leaders at the AFME/IMN Euromoney Global Innovation Institute (GI2) conference.

London, 25 September: We will host our next Institutional Investor and Corporate Issuer roundtable with industry experts discussing issues including proxy voting, shareholder disclosure, regulatory and governance trends. Contact us for more information.

London, 26-27 September: Mike Thrower, VP International Sales, will moderate a panel of market leaders during the keynote session ‘How can you develop and manage innovative partnerships’ at the Capital Markets Innovation Summit

London, 3 October: Join us at the Corporate Actions 2018 conference where we will be contributing to the Proxy Voting and Automation panel sessions.

Sydney, 22-25 October: Our global team will be at Sibos in Australia and we invite you to meet us there to discuss your organisation’s growth, compliance, risk and governance strategies. This year, Vijay Mayadas, Corporate Vice President, Global Fixed Income and Analytics, will lead an Open Theatre session on applying innovation to transform post-trade technology and operations value.


If you’d like to receive this newsletter by email, please complete the sign up form below.

Want more information about any of the topics mentioned here? Please get in touch with your account manager directly or contact

You can also keep up-to-date with more EMEA news via our regional LinkedIn group – follow us today!


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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