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Video

Pioneering Strategy for Non-Listed Issuers

Challenges accepted.

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Every non-listed sponsor understands that a product that's virtually 100 percent retail is going to have a more challenging proxy than its listed peers.

Unlike its listed peers that are protected by large institutional positions or broker discretionary voting meetings look and feel quite different in the non-listed space.

Broadridge knew a change was needed. We needed to engage the shareholder.

We started a marketing-based approach using an omni channel outreach in order to create the results we were looking for.

The effect was nearly immediate. Our solicitation strategy is always evolving.

If you think about the traditional method, it is mail, repeat, phone calls, repeat. It wasn't getting the results required.

The average shareholder is receiving 8 to 12 packages of mail a day.

You're competing with that in looking for their time and attention.

For the outbound phone calls? Who answered the phone today without looking at the caller I.D. to verify, you know, who you're speaking with?

Those are real challenges.

The traditional black ink and legalese of a proxy communication we knew needed to change.

We leveraged color. We simplified the language. We inserted client branding and now commonly use video as part of that communication.

We focus on senior level engagement, often a CEO leaving voicemails as part of our outbound calling effort.

And the first thing you typically see when you open a proxy package is a CEO letter talking about the importance of voting and that shareholder relationship.

It's made a meaningful difference.

In a world where folks are just starting to experiment with social media as a solicitation tool, we're nearing our 100th campaign.

Change is a constant in this space.

Federal or state regulation change, the market environment, even shareholder behavior. It's an opportunity that requires innovative thinking.

The partnership between Broadridge and our clients has created an incubator for marketing-based solicitation strategy.

We're looking at the process saying how can we do this more securely?

How can we do this more simply?

How can we ensure that we're driving better outcomes for our clients?

Retail voting is simply not getting easier.

We need a foundation of innovation and execution to ensure that Broadridge is ready for what's next.


Retail shareholder engagement has been a consistent challenge for Non-Listed Issuers. See how Broadridge developed an omni-channel, "marketing-based" solution to achieve the results needed.

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