Broadridge Analytics and Reporting offers comprehensive solutions for customer communications.

Targeted messaging via multi-channel marketing drives engagement, increases participation and achieves four times the return over a single-channel, non-data-driven approach. We help you streamline content design, workflow, and distribution with simple templates and print-on-demand technology.

Broadridge's Post-Trade Processing Business Process Outsourcing (BPO) for EMEA and APAC optimizes operating models by providing comprehensive post-trade processing services.

Optimize your credit trading with a bank debt processing solution that covers the entire cycle. Credit Master provides complete trading and support for every step in the workflow, including portfolio analysis, global transaction entry, settlement and closing, and compliance and document warehousing.

Improve the capture, flow, storage, accessibility and management of client information with Broadridge Inform. Enable high-velocity client onboarding and protect your client data across the entire relationship life cycle by eliminating paper and reducing risky integration layers.

Broadridge's Video Studio enhances advisor marketing by providing tools for creating engaging video content, ensuring effective client communication.

Build and publish regulatory documents accurately and efficiently, using a data-driven approach to content management. DocuBuilder enables you to break down, catalog and repurpose small, reusable content components, such as mutual fund data and descriptions of services and policies. Then rich metadata tags make it easy to plug those components into any document, anywhere.

Broadridge's Global Tax Reclaim and State Tax Reporting simplifies regulatory reporting for mutual funds and ETFs. Enhance compliance, streamline processes, and optimize tax management.

Whether your client is going public, growing their business through a merger or acquisition, or raising capital, the right partner can help your client get to market faster with less risk. We provide expertise and tools to drive accuracy and efficiency through the SEC disclosure process.

Broadridge's Dynamic Fund Board Reporting simplifies regulatory reporting for mutual funds and ETFs, providing efficient and compliant solutions.

Broadridge's Performance Analytics solution enhances client experience by providing dynamic tools for advisors to analyze and optimize investment performance.

Broadridge's Reconciliation solution helps asset managers manage risk and optimize operational efficiency by providing comprehensive tools for reconciling financial transactions.

Broadridge's Trading Platforms optimize trade processing for retirement services, ensuring efficiency and compliance.

Broadridge's Investment Accounting adapts to growing investment complexity and regulatory burden for fund administrators. Enhance accuracy, streamline processes, and ensure compliance.

Broadridge's Digital Makes It Easy service maximizes participant and plan sponsor engagement, providing seamless digital solutions for retirement services.

Broadridge's Document Composition and SEC Filing service enhances shareholder engagement for alternative investments, providing efficient and compliant solutions.

Broadridge's Proxy Policies and Insights solution enhances and simplifies portfolio management for institutional investors by providing comprehensive tools for managing proxy voting policies and gaining insights.

Broadridge's Fully Paid Lending transforms your trade life cycle with efficient, reliable solutions. Enhance accuracy, streamline operations, and optimize lending processes.

Broadridge's Locator enhances advisor marketing with innovative solutions. Improve local visibility, streamline processes, and optimize marketing strategies.

Meet your requirements for compliance and regulatory accounting with Broadridge's technology, operations and wealth management expertise. Our business process outsourcing will ensure that your firm stays up-to-date with ever-changing rules and regulations.

Broadridge North American Post-Trade Processing\*\* optimizes the operating model for wealth management through managed services.

Broadridge's Derivatives Trade Processing transforms your trade life cycle, providing comprehensive solutions for efficient and compliant derivatives management.

Broadridge's Risk and Transparency Reporting services help fund administrators manage investment complexity and regulatory burdens, ensuring clarity and compliance.

Broadridge's Sales Analytics provides unique distribution insights for mutual funds and ETFs, enhancing decision-making and transparency.

Broadridge's Information Management solution offers comprehensive tools for managing and optimizing customer communications and data.

Broadridge's Post-Trade and Regulatory Compliance solution helps asset managers manage risk and optimize operational efficiency by ensuring compliance with post-trade regulations.

Broadridge's Data Control Intelligent Automation enhances accuracy and visibility across the entire data life cycle, providing advanced solutions for capital markets.

Broadridge Consulting Services specializes in digital transformation for transactional, regulatory and marketing communications. With an unparalleled depth of insight and expertise, we help to increase efficiencies, reduce costs and optimize impact across touch points.

Improve recruitment, retention and performance with streamlined compensation and incentive management, client account opening and maintenance, and books and records. Advisor compensation from Broadridge provides dynamic sales reporting and analytics for enhanced practice management.

Broadridge's IPO End-to-End Services simplifies the process of taking companies public with comprehensive solutions. Enhance efficiency, streamline operations, and ensure compliance.

Broadridge's Equity Trade Processing transforms your trade life cycle with efficient, reliable solutions. Enhance accuracy, streamline operations, and optimize trade management.

Minimize risk in an increasingly complex regulatory environment by automating compliance monitoring and reporting for your retirement services business. Our rules-based solution aggregates data across intermediary platforms and flags potential trading violations in real time, helping to simplify regulatory compliance and reporting.

Broadridge's ProxyVote solution helps corporate issuers build their brand and engage shareholders by providing comprehensive tools for managing proxy voting and shareholder communications.

Broadridge's Operational Risk Management solution helps financial institutions manage and mitigate operational risks effectively.

Identify which RIAs, broker-dealers, and banks represent the best sales potential. Opportunity Hunter identifies and qualifies your best prospects to gain and retain AUM.

Broadridge's Enhanced Proxy Design helps corporate issuers build their brand and engage shareholders with innovative proxy solutions. Improve communication, enhance brand visibility, and streamline processes.

Broadridge's Regulatory Trade and Transaction Reporting services ensure accurate and compliant reporting for capital markets transactions.

Broadridge's Retirement CX enhances engagement for retirement plan participants and sponsors, ensuring a seamless and interactive experience.

Broadridge's Regulatory and Investor Communications streamline financial and regulatory reporting for asset managers, ensuring clarity and compliance.

Broadridge's Financial Reporting for Mutual Funds and ETF Providers simplifies financial and regulatory reporting for mutual funds and ETFs. Enhance transparency, streamline processes, and improve investor communication.

Simplify your bank loan and private loan management while delivering total transparency with a single loan trading solution.

Broadridge's Deliver Intelligent Liquidity service enhances client experience with dynamic advisor tools, providing advanced liquidity management solutions.

Broadridge's Registered Proxy Services simplify the annual meeting process for corporate issuers, ensuring efficient and compliant shareholder communications.

Broadridge's Reconciliation solution for wealth management optimizes operating models by providing comprehensive tools for reconciling financial transactions.

Broadridge's Disclosures for Mutual Funds service simplifies capital markets and annual compliance disclosure, providing efficient solutions for law firms.

Broadridge's Identity and Preference Management solution helps organizations manage customer identities and preferences efficiently and securely.

Achieve greater transparency with automated workflows that streamline your billing and invoicing operations through increased efficiency, accuracy and shorter billing cycles. Our Trade Expense Management solutions can improve the quality of fee calculations and invoicing processes.

Broadridge's Foreign Exchange Trade Processing transforms your trade life cycle with efficient, reliable solutions. Enhance accuracy, streamline operations, and optimize trade management.

Broadridge Continuing Education enhances advisor knowledge with comprehensive training programs, ensuring compliance and professional growth.

Broadridge Mortgage-Backed Securities solutions streamline the trade life cycle for capital markets.

Broadridge's Data Management, Analytics, and Reporting services enhance and simplify portfolio management for asset managers, providing comprehensive solutions.

Broadridge's Reconciliation for Corporate Treasury solution increases efficiencies in managing cash and risk by providing comprehensive tools for reconciling financial transactions.

Our customizable solutions will help advisors build their brand, share their knowledge and optimize their practice.

Broadridge's Stock Transfer Services simplify transfer agent operations for corporate issuers, ensuring efficiency and compliance.

Broadridge Advisor Onboarding streamlines the onboarding process for financial advisors, ensuring compliance and efficiency. - **Accelerate revenue for your firm: **Streamline the entire application process and get advisors producing faster. - **Maximize your firm’s ability to onboard at scale: **Scale your recruitment capabilities and easily manage ongoing registration maintenance for your advisors. - **Implement customizable workflows: **Define the review process on your terms—assign roles and manage compliance requirements with ease. **Increase onboarding efficiency end to end** - **Eliminate manual processes: **Reduce repetition, errors and delays—stay informed on your process with robust KPIs and other metrics - **Manage recruitment at scale: **View status of all invitations and applications and identify red flags, disengaged applicants or workflow challenges - **Integrate Internal and External Systems: **Interface with 3rd party platforms, including FINRA, background and credit check, imaging and fingerprinting vendors ### Features - **Customizable Solution** – Easily specify onboarding paths by position type, firm hierarchy and other key factors. - **Applicant Tracking** – Empower your onboarding team to track progress and mitigate potential bottlenecks. - **Proprietary Documents – **Streamline applicant completion of confidentiality and arbitration agreements, attestations, etc. - **Smarter Workflows – **Gain confidence with a** **checklist process to ensure all information has been entered and documents are in place. - **FINRA Submission - **Once completed and approved, firm can automatically submit** **the U4/amendments to FINRA. - **Third-party Integrations – **Seamlessly integrate** **Advisor Onboarding with Salesforce.** **Advisor compensation can also be populated with new hire info, avoiding manual entry. UI interfaces with firm’s preferred providers to complete credit and background checks, fingerprinting and drug testing.

Broadridge's Shareholder Meeting Registration simplifies the annual meeting process for corporate issuers, ensuring efficient and compliant shareholder engagement.

Broadridge's Portfolio Management for CLOs solution enhances and simplifies portfolio management for Collateralized Loan Obligations (CLOs) by providing comprehensive tools for managing investments and risks.

Broadridge Multi-Channel Participant Communications enhances engagement for retirement services through diverse communication methods.

Broadridge's Global SWIFT Services manage risk and optimize operational efficiency for asset management. Enhance communication, streamline processes, and ensure compliance.

Broadridge's ESG Consulting Solutions helps corporate issuers build their brand and engage shareholders with sustainable practices. Enhance ESG strategies, streamline reporting, and improve stakeholder engagement.

Broadridge's Tax Services optimize business operations for wealth management, ensuring accuracy and compliance in tax-related processes.

Broadridge's Virtual Shareholder Meeting simplifies the annual meeting process for corporate issuers, ensuring efficient and compliant shareholder engagement.

Broadridge's Digital Document Delivery service helps institutional investors engage effectively, providing secure and efficient digital communication solutions.

Broadridge's Trust and Custody Services optimize trade processing for retirement services, ensuring efficiency and compliance.

Give your board directors customized and accurate reporting so they can meet their fiduciary duty. Broadridge data provides deep insights into competitors for more representative peer groups and expertise on fund industry trends so you can better position your funds to support fee increases.

Broadridge's Data Control Business Process Outsourcing optimizes operating models with managed services, enhancing efficiency and compliance for capital markets.

Easily analyze sales and marketing data across platforms, programs and silos with a powerful analytics solution tailored to your specific business goals. Get 360-degree views of your business at a single glance. Quickly discover what's working, what's not—and why. Gain the actionable intelligence you need to make bolder, more confident decisions.

Broadridge's ESG Advisory Services helps law firms streamline proxy and annual meeting services for their clients with sustainable practices. Enhance ESG strategies, improve reporting, and engage stakeholders.

Broadridge's Investor and Advisor Mailbox enhances client experience with dynamic advisor tools. Improve communication, streamline processes, and ensure compliance.

Minimize risk in an increasingly complex regulatory environment by automating compliance monitoring and reporting. Our rules-based compliance solution aggregates data across intermediary platforms, flagging potential trading violations in real time.

Broadridge's Fund Investor Portal enhances investor engagement for institutional investors with comprehensive solutions. Improve communication, streamline processes, and ensure compliance.

Broadridge's Proxy Services solution helps institutional investors engage effectively with shareholders by providing comprehensive tools for managing proxy voting and communications.

Broadridge's Regulatory Communications streamline financial and regulatory reporting for asset managers, ensuring clarity and compliance.

Work smarter every day with detailed reporting and advanced search capabilities.The Client Portal is an intuitive tool that brings all your critical information into one place, helping you simplify processes and automate tasks.

Broadridge's Full-Service Tender Processing enhances shareholder engagement for alternative investments with comprehensive solutions. Improve efficiency, streamline processes, and ensure compliance.

Empower your advisors and investors to manage their investments across the investment life cycle, including account servicing, transactions and portfolio insight. Our solution transforms the wealth management experience, strengthening long-term relationships and increasing profitability.

Broadridge's Welcome Kits and ID Cards enhance member onboarding with personalized experiences and documents, ensuring a smooth and engaging process.

Broadridge's Interactive Online Document Management simplifies the annual meeting process for corporate issuers. Enhance efficiency, streamline communications, and ensure compliance.

Broadridge's SS&C Intralinks streamlines disclosure and compliance for corporate issuers, ensuring secure and efficient data management.

Broadridge's Financial Reporting for Corporate Issuer streamlines communications to drive down costs for corporate issuers. Enhance transparency, improve efficiency, and ensure compliance.

Broadridge Mutual Fund Data and Suitability solutions help wealth managers control risk and support services.

Broadridge's Share Management Solution enhances and simplifies portfolio management for institutional investors, ensuring efficiency and compliance.

Broadridge's Local Business Listings enhances advisor marketing with innovative solutions. Improve local visibility, streamline processes, and optimize marketing strategies.

Broadridge's Distribution 360 service provides unique distribution insights for mutual funds and ETFs, enhancing operational efficiency and market reach.

Wealth management firms rely on our solutions to optimize critical operations and enable advisors to provide an exceptional customer experience.

Broadridge's Print Marketing solution enhances advisor marketing efforts by providing comprehensive tools for creating and distributing printed marketing materials.

Broadridge's Engagement Simplified maximizes participant and plan sponsor engagement through innovative solutions. Enhance communication, streamline processes, and improve satisfaction.

Broadridge's Sponsored Name Placement enhances advisor marketing by increasing visibility and brand recognition through strategic placements.

Broadridge's Omni-Channel Delivery service enhances customer communications, providing seamless and efficient multi-channel solutions.

Broadridge's Smart Solutions for Reg BI help wealth managers tackle their Regulation Best Interest (Reg BI) obligations with confidence, ensuring compliance and client trust.

Broadridge Agency Trading enhances trading efficiency with advanced connectivity solutions, ensuring seamless and compliant transactions.

Broadridge's Corporate Trade Confirmation Service increases efficiencies in managing cash and risk, providing streamlined solutions for treasury operations.

Broadridge's Shareholder Data Services enhance corporate issuer engagement and brand building by providing comprehensive data solutions.

Broadridge's Data Management Warehouse and Reporting services support operational control and scalability for fund administrators, providing comprehensive data solutions.

Broadridge's Seminars enhance advisor marketing efforts, providing valuable insights and strategies for effective client engagement.

Broadridge's Expense Management optimizes your operating model with managed services. Enhance cost control, streamline processes, and improve financial efficiency.

Broadridge Composition enhances customer communications with advanced document creation and management solutions.

Broadridge AdvisorStream enhances advisor marketing with AI-driven content distribution, improving client engagement and growth.

Broadridge's Point-of-Sale Prospectus solution simplifies financial and regulatory reporting for mutual funds and ETFs, ensuring compliance and enhancing transparency.

Broadridge's Credit and Market Risk services help manage risk and optimize operational efficiency for asset managers, providing comprehensive solutions.

Broadridge's Pricing and Valuation solution enhances and simplifies portfolio management by providing accurate pricing and valuation tools for alternative investments.

Maintain timely, detailed and accurate reports with compliance master. Provide a differentiated service to your clients, while minimizing operational and regulatory risk.

Broadridge's Enhanced Packaging helps corporate issuers build their brand and engage shareholders with innovative packaging solutions. Improve communication, enhance brand visibility, and streamline processes.

Broadridge's Intelligent Prospecting enhances advisor marketing with innovative solutions. Improve client acquisition, streamline processes, and optimize marketing strategies.

Deliver important notifications to your shareholders and give them instant access to the data, documents, and resources they need from your company. Your customized portal acts as a seamless interface, enabling you to improve the shareholder experience and increase engagement.

Broadridge Notice and Access Inventory Management and Fulfillment simplifies the annual meeting process for corporate issuers.

Broadridge's Corporate Content services enhance advisor marketing, providing tailored solutions to boost engagement and drive growth.

Broadridge's Corporate Action services streamline proxy and annual meeting processes for law firms, enhancing efficiency and compliance for your clients.

Broadridge's Distributed Ledger Repo service transforms the trade life cycle, providing advanced solutions for capital markets.

Broadridge provides innovative technology and proprietary tools to help trust services providers fulfill proxy regulatory requirements. From proxy distribution and presentment to voting, tabulation and reporting, our Beneficial Proxy Services solution is the market's most complete, secure and accurate turnkey solution.

Automate cash management and provide real-time access to cash flows and visibility to global positions. Our solution enables cash managers to manage their business more efficiently while reducing risk and costs related to manual cash activities and growing volumes.

Broadridge's Fixed Income Trade Processing transforms your trade life cycle with efficient, reliable solutions. Enhance accuracy, streamline operations, and optimize trade management.

Broadridge's Distributed Marketing Solution enhances client experience with dynamic advisor tools, providing comprehensive marketing support for wealth managers.

Broadridge's End-to-End Securities-Based Lending offers comprehensive risk management and support services for wealth management. Enhance control, streamline operations, and optimize lending processes.

Broadridge's Data Control Reconciliations enhance accuracy and visibility across the entire data life cycle, providing advanced solutions for capital markets.

Broadridge's Reference Data Management solution enhances and simplifies portfolio management by providing comprehensive tools for managing reference data.

Accelerate your business growth and offer your clients more market choices through real-time connectivity with trading systems, exchanges, market platforms, regulators, CCPs, clearing centers, custodians and network providers. Our solutions help you increase operational efficiency on a cost-effective, low-risk basis.

Gain a real-time view of global inventory and exposures through intuitive dashboards. Generate efficiencies through margin automation, collateral optimization, life cycle management, settlement and connectivity with market infrastructure.

Broadridge's Reconciliation Managed Services solution enhances accuracy and visibility across the entire data life cycle by providing comprehensive tools for reconciling financial transactions.

Broadridge's Wealth Aggregation Insights enhance client experience with dynamic advisor tools, providing comprehensive financial data aggregation and analysis.

Broadridge's Proxy Management solution streamlines trade support, governance, and compliance services by providing comprehensive tools for managing proxy voting and shareholder communications.

Generate a clear view of your banking book collateral. COLLATE makes it easy to aggregate and standardize collateral data, helping to streamline workflows across the entire credit lifecycle. Empower decision makers and client-facing teams with the real-time intelligence they need to see and understand the big picture. Compliance reporting accuracy enables you to right-size capital requirements and unleash your true lending capacity.

Broadridge's Performance and Attribution solution simplifies portfolio management by providing detailed performance analysis and attribution insights.

Broadridge's Custody Expense Management optimizes billing processes for custodian banks, ensuring accuracy and efficiency.

Broadridge's Shareholder Communications streamline corporate issuer communications, driving down costs and enhancing engagement.

Broadridge's Fact Sheets simplify financial and regulatory reporting for mutual funds and ETFs. Enhance transparency, streamline processes, and improve investor communication.

Broadridge's Portfolio and Order Management solution enhances and simplifies portfolio management by providing comprehensive tools for managing orders and investments.

Support your company's goals with a call center solution that reflects your shareholders' unique needs and preferences. Our call center services combine a friendly, human touch with state-of-the-art technology to resolve inquiries promptly, and deliver a more engaging shareholder experience.

Broadridge's Managed Reference Data Service optimizes your operating model with managed services. Enhance data accuracy, streamline processes, and improve operational efficiency.

Broadridge's Securities Finance solutions optimize the trade life cycle for capital markets, ensuring efficiency and compliance.

Broadridge's DocuBuilder for Marketing maximizes investor communications and engagement for mutual funds and ETFs, providing efficient and compliant document creation solutions.

Broadridge's Portfolio Management for Private Debt solution enhances and simplifies portfolio management by providing comprehensive tools for managing private debt investments.

Broadridge's Print Solutions streamline disclosure and compliance processes by providing comprehensive tools for creating and distributing printed materials.

Our websites for financial advisors provide the home office with the ability to ensure efficiency, regulatory and brand compliance, and process controls, while providing flexibility in design and content on a mobile-friendly site.

Engage your target audience with real-time, compliant collateral. Broadridge's ContentHub makes it easy to share sales and marketing content on demand, digitally or in print. All from one, secure location.

Broadridge's Corporate Actions streamline communications to drive down costs, enhancing efficiency and compliance for issuers.

Optimize your credit trading with a bank debt processing solution that covers the entire cycle. Credit Master provides complete trading and support for every step in the workflow, including portfolio analysis, global transaction entry, settlement and closing, and compliance and document warehousing.

Broadridge's Intraday Risk Monitoring manages risk and optimizes operational efficiency for asset management. Enhance real-time insights, streamline processes, and ensure compliance.

Broadridge's DocuBuilder for Legal simplifies regulatory reporting for mutual funds and ETFs, providing efficient and compliant document creation solutions.

Broadridge Market Analytics provides asset managers with unique distribution insights to optimize mutual funds and ETFs.

Public companies have the same goals when it comes to SEC compliance — accuracy, timeliness and efficiency. We help you meet these objectives, enhancing control and reducing costs with a flexible, single-source solution for creating and filing required documents.

When brokers work with Broadridge you benefit from a provider who plans, executes and delivers your proxy and shareholder communications with modern and proven processing solutions. Using our centralized solution you work with a single entity across all your street positions, simplifying the process.

Broadridge's SFT Submission Service ensures accurate and compliant reporting for securities financing transactions.