Legal Statements

Human Rights Statement of Commitment

Broadridge is committed to the fundamental principle that all human beings are born free and equal in dignity and rights. They are endowed with reason and conscience and should act towards one another in a spirit of shared community and togetherness. Everyone is entitled to all fundamental human rights and freedoms without distinction of any kind, including on the basis of race, color, sex, sexual orientation, language, religion, political or other opinion, national or social origin, property, birth or other status. Everyone has the right to life, liberty and security of person. No one should be held in slavery or servitude, slavery and the slave trade should be prohibited in all their forms, and no one should be subjected to torture or to cruel, inhuman or degrading treatment or punishment. 

Prohibition of Human Slavery 

Broadridge is against all forms of slavery or practices similar to slavery, such as the sale and trafficking of men, women, or children, debt bondage and serfdom and forced or compulsory labor. This includes: forced or compulsory recruitment of children for use in armed conflict; the use, procuring or offering of a child for prostitution, for the production of pornography or for pornographic performances; the use, procuring or offering of a child for illicit activities, in particular for the production and trafficking of drugs as defined in the relevant international treaties; and work which, by its nature or the circumstances in which it is carried out, is likely to harm the health, safety or morals of children. 

Expected Standards from our Suppliers 

The Suppliers must not employ anyone against their will or force them to work involuntarily. Employees must be free to leave employment following reasonable notice. Employees are only required to hand over government issued identification, passports or work permits for identity and right-to-work verification purposes and not for purposes of prohibiting the employees from leaving employment. The Supplier must allow workers to openly communicate with management regarding working conditions without fear of reprisals of any type. Employees must have the right to associate freely and seek representation. The Suppliers must adhere to all applicable federal, state and/or international minimum labor standards and fair employment practices, including but not limited to practices related to hiring, termination, equal pay, discrimination, harassment, retaliation and worker safety. 

Due Diligence Process/Assessment 

Broadridge reserves the right to conduct evaluations of its suppliers, including but not limited to onsite audits, in order to review the risks of human trafficking and slavery in their operations. Broadridge may conduct these evaluations itself or it may use a third party. Broadridge reserves the right to conduct unannounced audits of our suppliers for trafficking and slavery in the supply chain to evaluate compliance with company standards. Broadridge standard terms and conditions require compliance with applicable laws including laws against human trafficking and slavery. 

Updated as of: June 2023

Patents

The following products and/or services of Broadridge Financial Solutions, Inc. and/or its affiliates are protected by patents in the U.S. and elsewhere. This page is intended to serve as notice under the virtual patent marking provisions of various jurisdictions, including, without limitation, as notice under 35 U.S.C. § 287(a). The following list may not be all inclusive, and other products and/or services not listed here may be protected by one or more patents pending in the U.S. and elsewhere.

Access Data® Asset Intelligence U.S. Pat. Nos. 8,200,567; 8,214,279. Other patents may be pending.
Access Data SalesVision® U.S. Pat. Nos. 8,103,564; 8,200,567; 8,214,279; 8,793,182. Other patents may be pending.
Access Data® Revenue Manager U.S. Pat. Nos. 8,103,564; 8,793,182. Other patents may be pending.
AdvisorTarget U.S. Pat. Nos. 10,867,321; 11, 282,108; 11,861,661; 12,412,191. Other patents may be pending.
Astrid EP3113038; UK Patent GB2539898.
Automated Intelligent Insertion U.S. Pat. Nos. 8,416,450; 8,707,099; 9,157,729; 9,751,112; 10,821,478; 11,059,073; 11,465,182; 11,911,800; 11,998,952. Other patents may be pending.
Blockchain-Based Shareholder Disclosure Platform U.S. Pat. Nos. 9,967,238; 10,333,910; 10,979,405; 11,816,664; EP Pat. No. 3 484 098; CN Pat. No. ZL 201811334415.7; JP Pat. Nos. 7150568, 7434480, 7385371 and 7711148; SG Pat. No. 10201809991R. Other patents may be pending.
BondGPT / BondGPT+ U.S. Pat. Nos. 12,061,970 and 12,307,349. Other patents may be pending.
Consolidated Data Feed U.S. Pat. Nos. 7,653,564; 7,689,489; 8,606,669; 8,788,318. Other patents may be pending.
Digital Assets Transaction Communications / Secure Session Controls U.S. Pat. No. 12,632,861. Other patents may be pending.
Digital Delivery U.S. Pat. Nos. 9,171,292; 10,133,970; 10,460,218; 10,556,254; 10,832,105; 11,612,913; 11,783,149; 11,998,952; 12,090,521. Other patents may be pending.
Distributed Ledger Repo Platform U.S. Pat. Nos. 9,967,238; 10,333,910; 10,979,405; 11,816,664; EP Pat. No. 3 484 098; CN Pat. No. ZL 201811334415.7; JP Pat. Nos. 7150568, 7434480, 7385371 and 7711148; SG Pat. No. 10201809991R. Other patents may be pending.
FluentSM U.S. Pat. Nos. 8,103,564; 8,200,567; 8,214,279; 8,793,182. Other patents may be pending.
FundPoint® U.S. Pat. No. 8,521,632. Other patents may be pending.
Gloss U.S. Pat. Nos. 7,953,589; 8,271,261. Other patents may be pending.
Investigo® Advisor U.S. Pat. Nos. 7,653,564; 7,689,489; 8,606,669. Other patents may be pending.
Investigo® Enterprise U.S. Pat. Nos.7,653,564; 7,689,489; 8,606,669; 9,507,667. Other patents may be pending.
Investigo® SMARTDATA TM U.S. Pat. Nos. 7,653,564; 7,689,489; 8,606,669. Other patents may be pending.
Investor Engagement Analytics / Digital Communications Optimization U.S. Pat. Nos. 11,544,627; 12,014,254. Other patents may be pending.
Investor Intelligence/ InvestorView U.S. Pat. No. 10,825,093. Other patents may be pending.
Investor NetworkSM U.S. Pat. Nos. 8,370,244; 10,497,062; 11,030,695. Other patents may be pending.
LTX Trading Platform U.S. Pat. Nos. 10,922,773; 11,348,177; 11,468,530; 11,798,080; 11,798,081; 11,798,082; 11,798,083; 11,803,905; 11,803,906; 11,803,907; 11,803,908; 11,803,909; 11,803,910; 11,810,213; 11,995,732; 12,106,366; SG Pat. No. 11202109434U. Other patents may be pending.
Mobile ProxyVote®* U.S. Pat. Nos. 8,892,456; 11,922,992; CA Pat. No. 2,779,834. Other patents may be pending.
On-Demand Print U.S. Pat. Nos. 8,856,046; 9,183,531; 9,195,957. Other patents may be pending.
Postal Optimization Solutions U.S. Pat. Nos. 7,556,247; 8,004,717; 8,172,090; 8,235,641; 8,387,888; 8,416,450; 8,437,014; 8,682,479; 8,707,099; 8,801,005; 8,805,576; 8,857,624; 9,157,729; 10,192,276; 10,543,513; 10,675,660; 10,810,694; 10,981,199; 11,138,550; 11,717,859; 12,179,235. Other patents may be pending.
Print Delivery U.S. Pat. Nos. 7,556,247; 8,004,717; 8,172,090; 8,235,641; 8,387,888; 8,437,014; 8,801,005; 8,857,624; 9,751,112; 10,133,970; 10,460,218; 10,556,254; 10,821,478; 10,832,105; 11,138,550; 11,465,182; 11,612,913; 11,783,149; 11,998,952; 12,090,521. Other patents may be pending.
Private permissioned blockchain system U.S. Pat. Nos. 9,967,238; 10,333,910; 10,979,405; EP Pat. No. 3 484 098; CN Pat. No. ZL 201811334415.7; JP Pat. Nos. 7150568 and 7434480; SG Pat. No. 10201809991R. Other patents may be pending.
ProxyDisclosure® U.S. Pat. Nos. 7,689,489; 7,653,564; 8,606,669; 8,788,318. Other patents may be pending.
ProxyEdge® U.S. Pat. Nos. 7,653,564; 7,689,489; 7,953,589; 8,271,261; 8,606,669; 8,788,318. Other patents may be pending.
ProxyVote® U.S. Pat. No. 7,953,589; 8,271,261; 8,788,318; 11,275,908. Other patents may be pending.
RECASTSM U.S. Pat. No. 7,654,445. Other patents may be pending.
Regulatory Communication Assembly U.S. Pat. Nos. 8,856,046; 9,183,531; 9,195,957; CA Pat. No. 2,873,544. Other patents may be pending.
ReorgActionSM U.S. Pat. No. 9,009,062; CA Pat. No. 2,907,385. Other patents may be pending.
Shareholder Forum U.S. Pat. No. 11,030,695. Other patents may be pending.
Tokenization & Digital Assets Platform U.S. Pat. Nos. 11,611,438; 12,154,010 and 12,250,315; AU 2022246182; EP 4,315,742; JP 7499424
Trade order management/Charging Condition Matrix CA 2910397
Variable Data Digital Print U.S. Pat. No. 7,978,349. Other patents may be pending.
Virtual Shareholder Meeting U.S. Pat. No. 11,030,695. Other patents may be pending.

  • * Registration is for ProxyVote, without the generic word “Mobile”

(Virtual Patent Marking Notice - Last Updated: June 15, 2026)