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Mutual Funds and ETFs
Retirement Plan Providers

Addressing challenges to help drive business growth

During the past year the scope and magnitude of global changes affecting the financial market and regulatory framework has been daunting. Barely a day goes by when we are not confronted by a myriad of issues such as: dramatic swings in market valuation, bankruptcies, misappropriated investor assets, sovereign debt crisis and new industry regulations. Conducting business today is complicated and the ability to achieve corporate performance goals in this environment is challenging.

We continually attempt to step into your shoes, to see the world as you do, so that we can push ourselves to innovate and develop high quality solutions that make your organization more efficient and allow you to focus on driving business growth. Let’s take a look at some of the 2011 enhancements that Broadridge has made.

Using our consultative expertise, we have assisted our clients in deciphering the Department of Labor Disclosure and Reporting Rules for 404(a)(5) and 408(b)(2) and developed tailored solutions to help meet the diverse needs of our clients. Our fee disclosure resource center includes white papers and replays of the highly attended fee disclosure webinar series we hosted. We will continue to update the materials and information contained on this resource center as we near the implementation deadline. Learn more about Fee Disclosure

We entered into an agreement with Charles Schwab to expand upon the sales reporting and data analytics capabilities Schwab currently provides to more than 600 Mutual Fund Sponsors. This partnership underscores the value we bring to the mutual fund arena as an industry information hub between asset managers and intermediaries, providing data transparency across all distribution channels. The increased level of transparency will provide deeper insight into the channels, products, and advisors necessary to drive your business growth and address compliance needs. Learn more about the Charles Schwab agreement

During 2011 we integrated Matrix Financial Solutions to strengthen our mutual fund processing platform to enable bank trusts, record keepers and TPAs to increase distribution and attract additional assets. We expanded the functionality of our RetireTool(k)it solution permitting financial advisors to offer an open architecture solution to their defined contribution customers with access to over 25,000 mutual funds.

Beyond the Matrix offering, Broadridge has enhanced our offerings to provide end-to-end Defined Contribution Self-Service solutions. These self-service solutions include our ePASS (enrollment kits), Automated Statement Generator (participant statements) and Fund Solutions (fund fact sheets). These offerings assist Defined Contribution providers to streamline operations, lower costs, raise participation and increase assets under management.

As we look to the future, Broadridge will continue to leverage our unique position in the financial services industry to create transparency and visibility, provide effective market intelligence, and increase operating efficiency to our customers.

I would like to thank you for choosing Broadridge and my best wishes for much success in 2012. If you have any questions, feel free to call me or your account manager. I am available anytime by phone at 631-254-7451 or email at Gerard.Scavelli@broadridge.com.

Sincerely,

Gerard F. Scavelli
President, Mutual Fund Solutions

 

See the Big Picture

Access Data’s advanced analytics and reporting solutions helps you gain unprecedented access to a wealth of product and market data. This information enables you to focus on the information critical to your business and drive asset growth in new markets, improve operational efficiencies and better manage business risk...

Increasing Capabilities through a Strategic Partnership

2011 proved to be an exciting year with Broadridge’s recent partnership with Charles Schwab. Schwab and Broadridge have entered into an agreement to expand the sales reporting and data delivery capabilities now provided to more than 600 Mutual Fund Sponsors...

Comprehensive Solutions

Access Data’s Distributor Compensation solution stands at the forefront of helping improve accuracy and mitigate risks associated with manual, spread-sheet processing of third-party distributor and service fee payments...

Delivering Quality Information for Enterprise Business Reporting

Access Data’s Enterprise Data Management automates the collection of trade and transaction information from multiple data sources delivering complete, accurate, consistent and timely information to support sales reporting, customer relationship management (CRM) systems, as well as compensation and compliance processes...

Simplifying the Experience

After evaluating years of historical voting preferences and sophisticated predictive modeling opportunities, Broadridge leverages this insight and takes a scientific approach that delivers greater proxy planning accuracy and improved control for mutual fund proxy campaigns resulting in resources being applied to the right shareholder audiences...

Vote Your Shares from Anywhere

With the addition of Mobile ProxyVote®, investors now have the convenience of voting their shares from the Internet and mobile devices...

Recognized Industry Leader in Fee Disclosure

Broadridge provides “best-in-class” capabilities to help plan sponsors and plan advisors meet fee disclosure requirements. We hosted a series of webinars this fall to help sponsors and advisors understand their regulatory obligations...

The Next Generation of Mail

We expanded our multi-channel communications offerings by adding another distribution channel to our portfolio of communication solutions – Digital Mail...

Expediting Marketing Communications

With the implementation of new technologies such as quick response codes (QR codes) and mobile apps, you can get information in front of your clients faster. QR codes are the newest marketing form and are here to stay...

Reach Advisors through Personalized Messages

In 2011 Broadridge developed exciting solutions in cross-media marketing campaigns, offering you more effective, expedient advisors communications at lower cost...

Print-on-Demand Savings

With Broadridge’s print-on-demand solution, you no longer need to stock a warehouse full of communications to help assure appropriate investor disclosure at the broker level...

Cut Costs While Increasing Efficiency

Broadridge’s PostEdge® e-delivery solution puts just about any correspondence in your clients' reach quickly, efficiently and securely while helping satisfy SEC retention and archival requirements for statements, confirmations and tax documents...

Building Capabilities in Retirement Solutions

Matrix provides automated clearing and settlement of mutual fund transactions for bank trusts, TPAs and record keepers. Its proprietary technology platform collects trade orders from bank trusts, TPAs and record keepers and provides the connectivity to the NSCC for clearing...

Decision Autonomy for Variable Annuity Issuers

Our newly introduced innovative annuity partner solution, offered only by Broadridge, allows insurance carriers to exercise decision autonomy through the distribution of mutual fund proxy materials to variable annuity customers...

Growing in the Defined Contribution World

We have a continued commitment to the Defined Contribution industry and are focused on growing the Third-Party Administrator channel. We enhanced our offerings to provide end-to-end DC Self-Service solutions...

"Intelligent" Savings for Variable Product Issuers and Distributors

Historically variable product issuers managed policyholder regulatory communications with the traditional “tri-annual mailing” consisting of separate annual prospectus, semi-annual report and annual report mailings...

Post-Sale Prospectus and Shareholder Mail Extended Into Insurance and Retirement Channels

For years Broadridge has been the industry standard for first-dollar prospectus fulfillment and regulatory mailings within the brokerage and bank intermediary channel...

Master the Enrollment Book

Our ePASS solution offers Defined Contribution providers control and efficiency in building enrollment books. This web-based, out-of-the box solution saves time by coordinating and developing every nuance of your enrollment book...

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Broadridge Financial Solutions, Inc. is a technology services company focused on global capital markets. We are the market leader enabling secure and accurate processing of information for communications and securities transactions among issuers,mutual funds, investors and financial intermediaries.

This information is provided for informational purposes only and should not be interpreted as legal, financial or other form of advice and no legal or business decision should be based on its content.

Broadridge 1155 Long Island Avenue, Edgewood, NY 11717 1-800-353-0103

©2012 Broadridge Financial Solutions, Inc. Broadridge and the Broadridge logo are registered trademarks of Broadridge Financial Solutions, Inc. Access Data SalesVision is a registered trademark of Access Data Corp., a subsidiary of Broadridge financial Solutions, Inc. Matrix Financial Solutions is registered trademarks of Matrix Financial Solutions, Inc. PostEdge and Mobile ProxyVote are registered trademarks of Broadridge Financial Solutions, Inc. Excel is a registered trademark of Microsoft. Volly is a trademark of Pitney Bowes Inc. iPhone and iPad are registered trademarks of Apple, Inc. Blackberry is a registered trademark of Research in Motion Limited. Android is a trademark of Google Inc.