Total E-Consent Solution

Electronic consent marketing, collection, and management

• A secure, turnkey investor consent collection solution
• Helps meets E-SIGN and regulatory requirements with patented processes

Broadridge's Total E-Consent Solution^sm includes an online interface for financial services firms to collect consent information from their investors for electronic delivery of account statements, trade confirmations, tax documents, statutory and summary prospectuses, shareholder reports, and other legally required documents. Our turnkey solution allows you to quickly and easily implement electronic communications, lowering compliance communication costs and offering greater convenience to investors who increasingly prefer to receive their investment documents online.

Broadridge's Total E-Consent solution is a patent-protected process to gather, store, and manage electronic consent for the electronic transmittal of financial disclosure documents. And, as the inventor of the industry's first electronic prospectus database (Prospectus Express®), only Broadridge has the combination of compliance expertise, technological savvy, and patented processes to offer a secure and scalable solution that offers better compliance adherence.

Total E-Consent Solution supports the entire workflow required to market, collect, store, and update investors' document delivery preferences:

Hosted Website – A website branded to client specifications that displays required consent disclosure information and enables investors to view and change their document delivery preferences.

E-Confirmations – A client-branded email is sent to each investor that has consented to confirm that a valid email address has been provided, and that the investor is able to access and view documents in the client-specified format (e.g., HTML, PDF, etc.).

Consent Database – All investor consent information is stored in Broadridge's proprietary electronic database. This database can be supplemented with client-supplied consent information and can update consent information within a client's internal systems.

Total E-Consent Solution Workflow: A Transparent, Cost-Effective, Convenient Process

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After consenting to e-delivery, investors go to your branded website to conduct financial transactions online and receive any required disclosure documents via email. The end result is convenience for your investors and cost savings for your firm.

E-SIGN (Electronic Signatures in Global and National Commerce Act, enacted 6/30/2000), requires businesses to obtain electronic consent or confirmation from consumers before sending legally required disclosure documents electronically (in lieu of the traditional "hard copy" format). Also, the consent must be obtained in a manner that reasonably demonstrates that the consumer can access information in the electronic form that will be used. Broadridge's patented process meets this requirement for both HTML and PDF documents.

Broker/dealers, individual variable annuity providers, and retirement plan providers offering e-delivery services are all subject to E-SIGN requirements, as well as industry regulations. Total E-Consent is an optimal solution for these financial services firms.

Total E-Consent Solution can be used with all investor communication documents, including:

• Statements
• Trade confirmations
• Tax forms
• Prospectuses and supplements
• Shareholder reports
• All other documents required by law

Improve Compliance Adherence

• E-SIGN Compliant – Total E-Consent Solution is designed to help meet the requirements of E-SIGN, including disclosure information display, electronic consent collection, and verification of document access capabilities.
• Proactive Regulatory Review – Broadridge continuously monitors compliance and regulatory changes, helping to ensuring that our Total E-Consent Solution is both "best in class" and up to date.

• Web-Based ASP Solution – Total E-Consent Solution requires minimal programming, no software or hardware expenditures, no maintenance, and no data archiving by the client.
• Seamless Integration – Total E-Consent Solution can be custom-branded to integrate seamlessly with the client website to be transparent to investors.

• Issued U.S. Patents – The workflow used to collect investor consent is covered by U.S. Patent 6,782,506, titled "Obtaining Consent for Electronic Delivery of Disclosure Documents," and U.S. Patent 7,028,190, titled "Method and System for Electronic Delivery of Sensitive Information."