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Financial Services
Expert solutions for financial services for over five decades
- Asset Management Learn More
  
  Institutional Investors
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  - Enhance and simplify portfolio management
  Fund Administrators and Prime Brokers
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Corporations
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Healthcare
Improve member experiences with enhanced communication solutions Learn More
Telecom
Attract, engage and retain customers by creating dynamic experiences Learn More
Utilities
Deliver exceptional experiences across communication channels Learn More
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Transform your business with communications, technology, data and analytics solutions
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- 15(c) Board Reporting
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- Plan Sponsor Communications
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- Risk and Transparency Reporting
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- Stock Transfer
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Financial Services
Expert solutions for financial services for over five decades
- Asset Management Learn More
  Institutional Investors
  Mutual Funds and ETF Providers
  Retirement Services Providers
  Global Investment Managers
  Alternative Managers
  - Manage risk and optimize operational efficiency
  - Enhance and simplify portfolio management
  Fund Administrators and Prime Brokers
  - Adapt to growing investment complexity and regulatory burden
  - Support operational control and scalability
- Capital Markets Learn More
- Consumer Finance Learn More
- Insurance Learn More
- Retail Banking Learn More
- Wealth Management Learn More
  Wealth Management Firms
  Individual Advisor Solutions
  - Build your practice
  Retirement Services Providers
  Trust Services Providers
  - Optimize business operations
Corporations
Streamline shareholder communications and management
- Corporate Treasury
- Increase efficiencies in managing cash and risk
Healthcare
Improve member experiences with enhanced communication solutions
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
search-all-product
- 15(c) Board Reporting
- - 22c-2 Compliance22c-2 Compliance
    - For Mutual Funds and ETF Providers
    - For Retirement Services Providers
- Advisor Compensation
- Advisor Desktop Solutions
- - Advisor Resource CenterAdvisor Resource Center
- Advisor Targeting
- - Advisor WebsitesAdvisor Websites
    - For Individual Advisor Solutions
    - For Wealth Management Firms
- - Asset ServicingAsset Servicing
    - For Capital Markets
    - For Wealth Management Firms
- - Bank Debt and Loan TradingBank Debt and Loan Trading
    - For Alternative Managers
    - For Fund Administrators and Prime Brokers
- - Beneficial Proxy ServicesBeneficial Proxy Services
- - Billing and Expense ManagementBilling and Expense Management
    - For Capital Markets
    - For Wealth Management Firms
- Branded Shareholder Portal
- Call Center
- - Cash ManagementCash Management
    - For Capital Markets
    - For Wealth Management Firms
- Client Information Management
- Client Portal
- - Collateral ManagementCollateral Management
    - For Capital Markets
    - For Wealth Management Firms
- - Compliance and Regulatory Accounting Managed ServicesCompliance and Regulatory Accounting Managed Services
    - For Capital Markets
    - For Wealth Management Firms
- Compliance Reporting
- - ConnectivityConnectivity
    - For Capital Markets
    - For Wealth Management Firms
- - Consumer Preference and Profile ManagementConsumer Preference and Profile Management
- Content Design and Management
- - Continuing EducationContinuing Education
    - For Individual Advisor Solutions
    - For Wealth Management Firms
- Control Solutions
- Corporate Action Services
- Corporate Trade Confirmation Service
- - Credit and Market RiskCredit and Market Risk
- Data Aggregation and Financial Reporting
- Data Management Analytics and Reporting
- - Data Management and ArchivalData Management and Archival
- Data Management Warehouse and Reporting
- - Data Management, Analytics and ReportingData Management, Analytics and Reporting
- - Derivatives Trade ProcessingDerivatives Trade Processing
    - For Capital Markets
    - For Wealth Management Firms
- - Digital DeliveryDigital Delivery
- Digital Document Delivery
- - Digital Experience ManagementDigital Experience Management
- Digital Marketing Campaigns
- - Direct MarketingDirect Marketing
- Distributed Marketing Solution
- - Document CompositionDocument Composition
- DOL Compliance
- eCards and Email Marketing
- Enhanced Packaging
- - Enhanced Proxy DesignEnhanced Proxy Design
    - For Corporate Issuer
    - For Corporate Issuer
- - Equity Trade ProcessingEquity Trade Processing
    - For Capital Markets
    - For Wealth Management Firms
- - Expense Management and Fee ValidationExpense Management and Fee Validation
    - For Global Investment Managers
    - For Institutional Investors
- - Expense Management Managed ServicesExpense Management Managed Services
    - For Capital Markets
    - For Wealth Management Firms
- Fee Billing
- - Fixed Income Trade ProcessingFixed Income Trade Processing
    - For Capital Markets
    - For Wealth Management Firms
- - Foreign Exchange Trade ProcessingForeign Exchange Trade Processing
    - For Capital Markets
    - For Wealth Management Firms
- Fund Budgeting and Accruals
- Fund Investor Portal
- Fund Partner Reporting
- Global Market Intelligence
- - Global Post Trade ManagementGlobal Post Trade Management
    - For Capital Markets
    - For Wealth Management Firms
- - Global Securities Class Action ServicesGlobal Securities Class Action Services
- - Global SWIFT ServicesGlobal SWIFT Services
- Global Tax Reclaim and State Tax Reporting
- Institutional Market Intelligence
- - Intelligent ProspectingIntelligent Prospecting
    - For Individual Advisor Solutions
    - For Wealth Management Firms
- Interactive Online Document Management
- Intermediary Fee Management
- - Intraday Risk MonitoringIntraday Risk Monitoring
    - For Alternative Managers
    - For Global Investment Managers
- - Investment AccountingInvestment Accounting
- Investor and Advisor Mailbox
- IPO Services
- - Local Business ListingsLocal Business Listings
    - For Individual Advisor Solutions
    - For Wealth Management Firms
- - Managed Reference Data ServiceManaged Reference Data Service
    - For Capital Markets
    - For Wealth Management Firms
- - Managed Services, Hosting and IntegrationManaged Services, Hosting and Integration
- Market Analytics
- - Mobile AppMobile App
    - For Individual Advisor Solutions
    - For Wealth Management Firms
- Multi-Channel Participant Communications
- Mutual Fund Data and Suitability
- - NewslettersNewsletters
    - For Individual Advisor Solutions
    - For Wealth Management Firms
- Notice and Access & Inventory Management and Fulfillment
- - Operational Risk ManagementOperational Risk Management
    - For Capital Markets
    - For Wealth Management Firms
- Performance Analytics
- - Performance and AttributionPerformance and Attribution
    - For Alternative Managers
    - For Global Investment Managers
- - Performance Dashboards and Operational ReportsPerformance Dashboards and Operational Reports
- Plan Sponsor Communications
- Point-of-Sale Prospectus
- - Portfolio and Order ManagementPortfolio and Order Management
- - Portfolio Securities VotingPortfolio Securities Voting
- - Post Trade and Regulatory CompliancePost Trade and Regulatory Compliance
    - For Alternative Managers
    - For Global Investment Managers
- - Post Trade Processing Managed ServicesPost Trade Processing Managed Services
    - For Capital Markets
    - For Wealth Management Firms
- Post Trade Processing Managed Services for EMEA and APAC
- - Pricing and ValuationPricing and Valuation
- - Print Delivery and Postal OptimizationPrint Delivery and Postal Optimization
- - Print MarketingPrint Marketing
    - For Individual Advisor Solutions
    - For Wealth Management Firms
- Print Solutions
- - Professional ServicesProfessional Services
    - For Capital Markets
    - For Wealth Management Firms
- Property and Casualty Websites
- Proxy Management
- Proxy Policies and Insights
- - Proxy ServicesProxy Services
    - For Institutional Investors
    - For Mutual Funds and ETF Providers
- ProxyVote
- - Rapid OnboardingRapid Onboarding
- - ReconciliationReconciliation
- Reconciliation for Corporate Treasury
- - Reconciliation Managed ServicesReconciliation Managed Services
    - For Capital Markets
    - For Wealth Management Firms
- - Reference Data ManagementReference Data Management
- Registered Proxy Services
- - Regulatory CommunicationsRegulatory Communications
- Retirement Readiness
- Revenue and Expense Management
- - Revenue Management and Fee BillingRevenue Management and Fee Billing
- Risk and Transparency Reporting
- - Sales and Asset ReportingSales and Asset Reporting
    - For Mutual Funds and ETF Providers
    - For Retirement Services Providers
- - Securities FinanceSecurities Finance
    - For Capital Markets
    - For Wealth Management Firms
- - SeminarsSeminars
    - For Individual Advisor Solutions
    - For Wealth Management Firms
- Shareholder Communications
- Shareholder Data Services
- Shareholder Meeting Registration
- Social Media Publishing
- SocialSpeaks
- - Sponsored Name PlacementSponsored Name Placement
    - For Individual Advisor Solutions
    - For Wealth Management Firms
- Stock Transfer
- - Tax ServicesTax Services
    - For Trust Services Providers
    - For Wealth Management Firms
- Trading Platforms
- Trust and Custody Services
- Virtual Shareholder Meeting
- - Wealth Insight ServicesWealth Insight Services
    - For Trust Services Providers
    - For Wealth Management Firms

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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
$4 billion in revenue, helps clients get ahead of today’s challenges to capitalize on what’s next with communications, technology, data and analytics solutions that help transform their businesses.

Company Info

About Broadridge Careers Client Support Contact Us Corporate Citizenship Diversity and Inclusion Investor Relations Office Locations Partner Program Press Security Capabilities Sitemap

Industry Solutions

Asset Management Capital Markets Consumer Finance Corporations Healthcare Insurance Retail Banking Telecom Utilities Wealth Management

English

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Want to see services available in Canada?

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Want to see services available in EMEA / APAC?

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22c-2 Compliance22c-2 Compliance

Advisor Resource CenterAdvisor Resource Center

Advisor WebsitesAdvisor Websites

Asset ServicingAsset Servicing

Bank Debt and Loan TradingBank Debt and Loan Trading

Beneficial Proxy ServicesBeneficial Proxy Services

Billing and Expense ManagementBilling and Expense Management

Cash ManagementCash Management

Collateral ManagementCollateral Management

Compliance and Regulatory Accounting Managed ServicesCompliance and Regulatory Accounting Managed Services

ConnectivityConnectivity

Consumer Preference and Profile ManagementConsumer Preference and Profile Management

Continuing EducationContinuing Education

Credit and Market RiskCredit and Market Risk

Data Management and ArchivalData Management and Archival

Data Management, Analytics and ReportingData Management, Analytics and Reporting

Derivatives Trade ProcessingDerivatives Trade Processing

Digital DeliveryDigital Delivery

Digital Experience ManagementDigital Experience Management

Direct MarketingDirect Marketing

Document CompositionDocument Composition

Enhanced Proxy DesignEnhanced Proxy Design

Equity Trade ProcessingEquity Trade Processing

Expense Management and Fee ValidationExpense Management and Fee Validation

Expense Management Managed ServicesExpense Management Managed Services

Fixed Income Trade ProcessingFixed Income Trade Processing

Foreign Exchange Trade ProcessingForeign Exchange Trade Processing

Global Post Trade ManagementGlobal Post Trade Management

Global Securities Class Action ServicesGlobal Securities Class Action Services

Global SWIFT ServicesGlobal SWIFT Services

Intelligent ProspectingIntelligent Prospecting

Intraday Risk MonitoringIntraday Risk Monitoring

Investment AccountingInvestment Accounting

Local Business ListingsLocal Business Listings

Managed Reference Data ServiceManaged Reference Data Service

Managed Services, Hosting and IntegrationManaged Services, Hosting and Integration

Mobile AppMobile App

NewslettersNewsletters

Operational Risk ManagementOperational Risk Management

Performance and AttributionPerformance and Attribution

Performance Dashboards and Operational ReportsPerformance Dashboards and Operational Reports

Portfolio and Order ManagementPortfolio and Order Management

Portfolio Securities VotingPortfolio Securities Voting

Post Trade and Regulatory CompliancePost Trade and Regulatory Compliance

Post Trade Processing Managed ServicesPost Trade Processing Managed Services

Pricing and ValuationPricing and Valuation

Print Delivery and Postal OptimizationPrint Delivery and Postal Optimization

Print MarketingPrint Marketing

Professional ServicesProfessional Services

Proxy ServicesProxy Services

Rapid OnboardingRapid Onboarding

ReconciliationReconciliation

Reconciliation Managed ServicesReconciliation Managed Services

Reference Data ManagementReference Data Management

Regulatory CommunicationsRegulatory Communications

Revenue Management and Fee BillingRevenue Management and Fee Billing

Sales and Asset ReportingSales and Asset Reporting

Securities FinanceSecurities Finance

SeminarsSeminars

Sponsored Name PlacementSponsored Name Placement

Tax ServicesTax Services

Wealth Insight ServicesWealth Insight Services

How can we help?

Become a Broadridge partner

Thank You

Talk to us

Thank You

Get client support

Thank You

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.