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The combination of SEC rules 498A and 30e-3 provides firms with the opportunity to streamline and enhance their end-investor communications model. However, compliance will require a plan. This checklist provides variable life and variable annuity providers a checklist for implementing the new rules.
Broadridge, a global Fintech leader with $5 billion in revenues, provides the critical infrastructure that powers investing, corporate governance and communications to enable better financial lives. We deliver technology-driven solutions that drive digital transformation for our clients and help them get ahead of today’s challenges to capitalize on what’s next.