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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

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Want to speak with a sales representative?

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+1 800 353 0103North America
+65 6438 1144APAC