Brokerage Firms

Marrying investor disclosure requirements with cost efficiency
demands 3-D vision.

You may not pay for the cost of producing the fund prospectus, but you do pay for shipping and postage. And if the documents delivered aren't compliant, you'll pay for that too – with possible regulator fines, bad press, and lost investor trust.

Broadridge provides a 3-D solution to marry compliance requirements with cost-efficiency. It's our documents, data and delivery. Of the 70 million first-dollar prospectuses delivered to investors last year, nearly 25% of these were delivered electronically. Broadridge handled every single one of these.

Here are a few more numbers that will give you confidence:

• 100% – Broadridge provides full coverage of all SEC-filed U.S. open-end mutual funds, variable products, ETFs and UITs on your platform.
• 100% – We source and quality-check every single new fund filing ever day from EDGAR.
• 100% – We manage ALL electronic prospectus deliveries, or roughly 15 million e-deliveries this fiscal year.

What are the Benefits to You?

• Broadridge's electronic prospectus document delivery solution covers all the funds you offer.
• As you migrate from paper-based disclosure to electronic, you eliminate waste, significantly reduce costs and help provide a better investor experience.
• Our FundPOINT Desktop "paperless prospectus" – powered by our industry-best FundPOINT compliance data and Share Class Analyzer tool – helps assure appropriate trading and provides point-of-sale disclosure.
• Broadridge's patented process technology with dual auditor review on every new SEC filing helps to assure proper due diligence in meeting compliance obligations.
• Our Intelligent Delivery Services provides print on demand capabilities which will let you combine the streamlined summary prospectus with trade confirms into a single mailing.