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Efficient Marketing and Regulatory Communications Checklist

Bring speed and efficiency to your marketing and regulatory communications workflows.

Now, more than ever, firms are turning to Broadridge.

The right solutions and processes can accelerate composition, production, distribution and tracking of critical communications. Use this checklist to assess your operations, evaluate your opportunities and prioritize your next moves. We can help you streamline your communications workflows at every step.

Document Composition

Automate composition of marketing and regulatory materials
Simplify regulatory updates to prospectuses and fund reports
Centralize management of legal disclosures, bios and index descriptions
Ensure materials are ADA compliant
Meet deadlines, get to market faster and avoid the quarter-end rush

SEC Filing and Web Hosting of Regulatory Documents

Ensure all publicly available regulatory documents are up to date
Utilize an EDGAR-sourced regulatory library
Automatically link regulatory documents including prospectuses, reports and portfolio holdings
Address iXBRL filing challenges

Collateral Content Management

Centralize marketing and regulatory materials in one location
Streamline ordering processes for sales, marketing and service teams
Ensure sales content is current, organized and easy to find
Integrate CRM, DAM and disparate systems into your content distribution process
Reduce redundant administrative publishing tasks

Multi-channel Distribution

Align and integrate digital and physical communication distribution
Reduce costs by maximizing use of print on demand
Efficiently execute periodic shareholder letters, notices, ADV mailings and more
Accelerate digital adoption to reduce costs
Execute orders from multiple systems via a central distribution point for personalized, ad hoc and recurring communications

Tracking and Reporting

Maintain an accessible, detailed history of materials distributed
Generate real-time reporting at every step of your communications process
Gain powerful insights on investor and advisor behavior

Business Continuity and Resiliency

Ensure continuity of internal and vendor operations
Manage through event-driven operational challenges
Address critical business needs involving data security and compliance

Download the Checklist

Let’s talk about what’s next for you

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

Want to speak with a sales representative?

Table Heading
+1 800 353 0103	North America
+442075513000	EMEA
+65 6438 1144	APAC

First name*

Last name*

Work email address*

Telephone*

Country*

Company name*

Job title*

What would you like a Broadridge sales representative to contact you about?

Thank you.

Your sales rep submission has been received. One of our sales representatives will contact you soon.

Want to speak with a sales representative?

Table Heading
+1 800 353 0103	North America
+442075513000	EMEA
+65 6438 1144	APAC

22c-2 Compliance

Advisor Resource Center

Annual Compliance

Asset Servicing

Bank Debt and Loan Trading

Beneficial Proxy Services

Billing and Expense Management

Broadridge Alternative Investments Hub

Broadridge Global Custody Solutions

Capital Markets Disclosures

Cash Management

Collateral Management

Connectivity

Consumer Preference and Profile Management

Credit and Market Risk

Data Management and Archival

Data Management, Analytics and Reporting

Derivatives Trade Processing

Digital Delivery

Digital Experience Management

Distributed Marketing Solution

Distribution 360

Document Composition

EDGARForms

Enhanced Packaging

Enhanced Proxy Design

Equity Trade Processing

ESG Advisory Services

Expense Management and Fee Validation

Fact Sheets

Fi360 Data and Analytics

Fi360 Learning and Development

Fi360 Software and Technology

Financial Reporting

Fixed Income Trade Processing

Foreign Exchange Trade Processing

Fund Budgeting and Accruals

Global Market Intelligence

Global Securities Class Action Services

Global SWIFT Services

Institutional Market Intelligence

Intraday Risk Monitoring

Investment Accounting

InvestorView

Local Business Listings

Managed Services, Hosting and Integration

Market Analytics

MiFID II Compliance

Operational Risk Management

Performance and Attribution

Performance Dashboards and Operational Reports

Portfolio and Order Management

Portfolio Securities Voting

Post Trade and Regulatory Compliance

Pricing and Valuation

Print Delivery and Postal Optimization

Proxy Services

ProxyVote

Reconciliation

Reference Data Management

Registered Proxy Services

Regulatory Communications

Revenue Management and Fee Billing

Sales and Asset Reporting

Securities Finance

Seminars

Shareholder Data Services

Sponsored Name Placement

Stock Transfer

Tax Services

Trade Processing and Settlement

Trading Platforms

Translation Services

Trust and Custody Services

Vdr

Virtual Shareholder Meeting

Visual Analytics

22c-2 Compliance

Advisor Resource Center

Annual Compliance