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Broadridge Mutual Fund Regulatory Communications COVID-19 Preparedness


Updated as of April 29, 2020

To Our Valued Clients and Communities,

We hope that you, your family, friends and colleagues are safe.  

I want you to know that Broadridge is doing everything possible to keep our associates safe and meet our commitments to you. Below please find an update on the latest status on our operations.

First, we will continue to deliver all Mutual Fund regulatory digital communications in accordance with the contractual service level commitments that we have made.

The physical mail components of Mutual Fund regulatory communications have been impacted by the pandemic. Broadridge has enacted strict safety measures, based on guidelines from local and national health and government agencies, to keep our people safe. While we have technology and operational capabilities that allow for the load balancing of work across our enterprise, these measures can affect delivery times, and some portion of mailed deliveries may be delayed, depending on the type of document.

As always, we endeavor to complete distributions in a timely manner and will keep you updated.  Our client portal (myservice.broadridge.com) is updated as distributions are completed.  Please contact your Broadridge relationship administrator if you need assistance with accessing the portal or would like a walk-through of the application.   

You may also be aware that the SEC has provided investment companies with a measure of regulatory relief for certain filings and distributions.  For more information about the SEC’s regulatory relief, visit the SEC.gov website or click the link here. Based on your interpretation of disclosure delivery requirements, you may decide to rely on that relief.  We encourage you to discuss this with your compliance department and legal counsel.  We will continue to deliver your disclosure documents in as timely a fashion as possible, as indicated above. 

This truly is a unique time and we value your partnership and appreciate the opportunity to serve you.  If you have any questions, please contact your Broadridge relationship administrator.

Sincerely,

Michael Liberatore

President, Mutual Funds and Retirement Solutions
Broadridge Financial Solutions


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