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Financial Services
Expert solutions for financial services for over five decades
Corporations
Streamline shareholder communications and management
- Corporate Issuer
  Corporate Treasury
  - Increase efficiencies in managing cash and risk
  Law Firms
  Non-Listed Issuer
  - Enhanced shareholder engagement for alternative investments
Healthcare
Improve the member and patient experience across the wellness journey
Telecom
Attract, engage and retain customers by creating dynamic experiences
Utilities
Deliver exceptional experiences across communication channels
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Transform your business with communications, technology, data and analytics solutions
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- Intelligent Prospecting
- Interactive Online Document Management
- Intermediary Fee Management
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- North American Post-Trade Processing
- Notice and Access & Inventory Management and Fulfillment
- - Operational Risk Management
    - For Capital Markets
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- Order Routing Network
- Pass-through Voting Insights
- Performance Analytics
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- Point-of-Sale Prospectus
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- Portfolio Management for CLOs
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- SEC Rule 30e-3
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    - For
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- Shareholder Meeting Registration
- Smart Solutions for Reg BI
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- Solvency II Reporting
- - Sponsored Name Placement
    - For
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- - Stock Transfer
    - For Corporate Issuer
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- Success Optimizer
- - Tax Services
    - For Trust Services Providers
    - For Wealth Management Firms
- - Trade Processing and Settlement
    - For Retirement Services Providers
    - For Retirement Services Providers
- Trade Surveillance and Compliance
- - Trading Platforms
    - For Retirement Services Providers
    - For Retirement Services Providers
- - Translation Services
    - For
    - For Global Funds
- - Trust and Custody Services
- UCITS KIIDs and EMT Production and Distribution
- - Vdr
    - For Corporate Issuer
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- Video Studio
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Financial Services
Expert solutions for financial services for over five decades
Corporations
Streamline shareholder communications and management
- Corporate Treasury
- Increase efficiencies in managing cash and risk
- Non-Listed Issuer
- Enhanced shareholder engagement for alternative investments
Healthcare
Improve the member and patient experience across the wellness journey
Telecom
Attract, engage and retain customers by creating dynamic experiences
Utilities
Deliver exceptional experiences across communication channels
All Products
Transform your business with communications, technology, data and analytics solutions
- 15(c) Board Reporting
- - 22c-2 Compliance
    - For Mutual Funds and ETF Providers
    - For Retirement Services Providers
- Advisor Compensation
- Advisor Desktop Solutions
- Advisor Onboarding
- - Advisor Resource Center
    - For Trust Services Providers
    - For Wealth Management Firms
- Advisor Targeting
- Advisor Websites
- AdvisorStream
- - Annual Compliance
    - For Corporate Issuer
    - For Law Firms
- Anti-Money Laundering Solution (AMLS)
- - Asset Servicing
    - For Capital Markets
    - For Wealth Management Firms
- Association Election Management
- - Bank Debt and Loan Trading
- Banking Book Collateral Management
- - Beneficial Proxy Services
- - Billing and Expense Management
    - For Capital Markets
    - For Wealth Management Firms
- Branded Shareholder Portal
- - Broadridge Alternative Investments Hub
    - For Wealth Management Firms
    - For Wealth Management Firms
- - Broadridge Global Custody Solutions
    - For Wealth Management Firms
    - For Wealth Management Firms
- Broadridge Intelligent Analytics
- Call Center
- - Capital Markets Disclosures
    - For Corporate Issuer
    - For Law Firms
- - Cash Management
    - For Capital Markets
    - For Wealth Management Firms
- Client Information Management
- Client Portal
- - Collateral Management
- Communications Consulting
- Compliance and Regulatory Accounting
- Compliance and Regulatory Accounting Process Outsourcing
- Compliance Reporting
- Composition and Publishing for Legal Documents
- Comprehensive management of EETs
- - Connectivity
- - Consumer Preference and Profile Management
- Content Design and Management
- Content Management and Distribution
- Continuing Education
- Corporate Action
- Corporate Action Services
- Corporate Content
- Corporate Trade Confirmation Service
- - Credit and Market Risk
- Cross-border Fund Data & Document Distribution
- Data Aggregation and Financial Reporting
- Data Control Business Process Outsourcing
- Data Control Intelligent Automation
- Data Control Messaging and Connectivity
- Data Control Reconciliations
- Data Management Analytics and Reporting
- - Data Management and Archival
- Data Management Warehouse and Reporting
- - Data Management, Analytics and Reporting
- Deliver intelligent liquidity
- - Derivatives Trade Processing
    - For Capital Markets
    - For Wealth Management Firms
- - Digital Delivery
- Digital Document Delivery
- - Digital Experience Management
- Digital Makes It Easy
- Digital Solutions
- Direct Marketing
- Disclosures for Mutual Funds
- Distributed Ledger Repo
- - Distributed Marketing Solution
    - For Wealth Management Firms
    - For Wealth Management Firms
- - Distribution 360
    - For Global Funds
    - For Mutual Funds and ETF Providers
- DocuBuilder for Legal
- DocuBuilder for Marketing
- - Document Composition
- Document Composition and SEC Filing
- Dynamic Fund Board Reporting
- eCards and Custom Email
- - EDGARForms
    - For Corporate Issuer
    - For Law Firms
- Elevate Disclosures
- End to end Securities Based Lending
- Engagement Simplified
- - Enhanced Packaging
    - For Corporate Issuer
    - For Non-Listed Issuer
- - Enhanced Proxy Design
    - For Corporate Issuer
    - For Law Firms
- - Equity Trade Processing
    - For Capital Markets
    - For Wealth Management Firms
- - ESG Advisory Services
    - For Corporate Issuer
    - For Law Firms
- ESG Analyzer
- European Fund Market Intelligence
- European Payments-as-a-Service
- Expense Management
- - Expense Management and Fee Validation
    - For Global Investment Managers
    - For Institutional Investors
- Expense Management business process outsourcing
- - Fact Sheets
    - For
    - For Global Funds
- FBF Intelligence
- Fee Billing
- - Fi360 Data and Analytics
    - For Retirement Services Providers
    - For Retirement Services Providers
- - Fi360 Learning and Development
    - For Retirement Services Providers
    - For Retirement Services Providers
- - Fi360 Software and Technology
    - For Retirement Services Providers
    - For Retirement Services Providers
- Finance and Accounting
- Financial Report Preparation and Filing
- - Financial Reporting
    - For
    - For Corporate Issuer
- - Fixed Income Trade Processing
    - For Capital Markets
    - For Wealth Management Firms
- - Foreign Exchange Trade Processing
    - For Capital Markets
    - For Wealth Management Firms
- Full Service Tender Processing
- Fully Paid Lending
- - Fund Budgeting and Accruals
    - For Global Funds
    - For Mutual Funds and ETF Providers
- Fund Data Distribution with the Galaxia Data API
- Fund Investor Portal
- Fund Partner Reporting
- - Global Market Intelligence
    - For Global Funds
    - For Mutual Funds and ETF Providers
- Global Post Trade Management
- - Global Securities Class Action Services
- - Global SWIFT Services
- Global Tax Reclaim and State Tax Reporting
- - Institutional Market Intelligence
    - For Global Funds
    - For Mutual Funds and ETF Providers
- Intelligent Prospecting
- Interactive Online Document Management
- Intermediary Fee Management
- Intermediary Fee Manager
- - Intraday Risk Monitoring
    - For Alternative Managers
    - For Global Investment Managers
- - Investment Accounting
- Investor and Advisor Mailbox
- Investor Intelligence
- - InvestorView
    - For Trust Services Providers
    - For Wealth Management Firms
- IPO End to End Services
- Key Information Documents
- Legal Remediation Engine
- - Local Business Listings
    - For
    - For Wealth Management Firms
- Locator
- Managed Reference Data Service
- - Managed Services, Hosting and Integration
- - Market Analytics
    - For Global Funds
    - For Mutual Funds and ETF Providers
- - MiFID II Compliance
    - For
    - For Global Funds
- Mortgage Backed Securities
- Multi asset Post Trade Management
- Multi-Channel Participant Communications
- Mutual Fund Data and Suitability
- Newsletters
- North American Post-Trade Processing
- Notice and Access & Inventory Management and Fulfillment
- - Operational Risk Management
    - For Capital Markets
    - For Wealth Management Firms
- Order Routing Network
- Pass-through Voting Insights
- Performance Analytics
- - Performance and Attribution
- - Performance Dashboards and Operational Reports
- Point-of-Sale Prospectus
- - Portfolio and Order Management
- Portfolio Management for CLOs
- Portfolio Management for Private Debt
- - Portfolio Securities Voting
    - For Global Funds
    - For Institutional Investors
- - Post Trade and Regulatory Compliance
    - For Alternative Managers
    - For Global Investment Managers
- Post trade FastStart
- Post Trade Processing Business Process Outsourcing
- Post Trade Processing Business Process Outsourcing for EMEA and APAC
- - Pricing and Valuation
- PRIIP KID and EPT Production Reporting and Distribution
- Principal Risk Trading and Market Making
- - Print Delivery and Postal Optimization
- Print Marketing
- Print Solutions
- Private Market Hub
- Professional Services
- Proxy Management
- Proxy Policies and Insights
- - Proxy Services
- - ProxyVote
    - For Corporate Issuer
    - For Non-Listed Issuer
- RealTime Content
- - Reconciliation
- Reconciliation for Corporate Treasury
- Reconciliation Managed Services
- Reference Data Business Process Outsourcing
- - Reference Data Management
- - Registered Proxy Services
- Regulatory and Investor Communications
- - Regulatory Communications
    - For
    - For Retirement Services Providers
- Regulatory Trade and Transaction Reporting
- Retirement CX
- Revenue and Expense Management
- - Revenue Management and Fee Billing
- Revport custodian bank billing management
- Risk and Transparency Reporting
- - Sales and Asset Reporting
- SEC Rule 30e-3
- - Securities Finance
- - Seminars
    - For
    - For Wealth Management Firms
- SFT Submission Service
- Share Management Solution
- Shareholder Communications
- - Shareholder Data Services
    - For Corporate Issuer
    - For Non-Listed Issuer
- Shareholder Meeting Registration
- Smart Solutions for Reg BI
- SmartRoom
- Solvency II Reporting
- - Sponsored Name Placement
    - For
    - For Wealth Management Firms
- - Stock Transfer
    - For Corporate Issuer
    - For Law Firms
- Success Optimizer
- - Tax Services
    - For Trust Services Providers
    - For Wealth Management Firms
- - Trade Processing and Settlement
    - For Retirement Services Providers
    - For Retirement Services Providers
- Trade Surveillance and Compliance
- - Trading Platforms
    - For Retirement Services Providers
    - For Retirement Services Providers
- - Translation Services
    - For
    - For Global Funds
- - Trust and Custody Services
- UCITS KIIDs and EMT Production and Distribution
- - Vdr
    - For Corporate Issuer
    - For Law Firms
- Video Studio
- - Virtual Shareholder Meeting
    - For Corporate Issuer
    - For Law Firms
- - Visual Analytics
- Wealth Insight Services
- Welcome Kits and ID Cards
Consulting Services
Providing you with actionable insight and proven execution
- Communications and Customer Experience Consulting
- Operations Innovation and Execution

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White Paper

Broker-Dealer Outsourcing: Key Regulatory Issues and Strategies for Compliance

Describes regulations of broker-dealer outsourcing and suggests how firms can best prepare to comply.

posted March 6 2013

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Broadridge Regulatory Compliance Software
Due to the efficiencies and economics of outsourcing, broker-dealers are relying more and more on outsourcing for a broader range of tasks. However, because of new and stricter regulations, outsourcing presents ever-growing compliance and oversight challenges. This paper explores how to retain regulatory controls while gaining the maximum benefit from outsourcing.

Download

Broadridge, a global Fintech leader with more than $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.

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Beneficial Proxy Services

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Broadridge Alternative Investments Hub

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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

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Trading Platforms

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