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Financial Services
Expert solutions for financial services for over five decades
Corporations
Streamline shareholder communications and management
- Corporate Issuer
  Corporate Treasury
  - Increase efficiencies in managing cash and risk
  Law Firms
  Non-Listed Issuer
  - Enhanced shareholder engagement for alternative investments
Healthcare
Improve the member and patient experience across the wellness journey
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
- 15(c) Board Reporting
- - 22c-2 Compliance
    - For Mutual Funds and ETF Providers
    - For Retirement Services Providers
- Advisor Compensation
- Advisor Desktop Solutions
- Advisor Onboarding
- Advisor Resource Center
- Advisor Websites
- AdvisorStream
- - Annual Compliance
    - For Corporate Issuer
    - For Law Firms
- artificial intelligence
- Assessment of Value and Board Reporting
- Asset Servicing
- Association Election Management
- - Bank Debt and Loan Trading
- Banking Book Collateral Management
- - Beneficial Proxy Services
- - Billing and Expense Management
    - For Capital Markets
    - For Wealth Management Firms
- Branded Shareholder Portal
- - Broadridge Alternative Investments Hub
    - For Wealth Management Firms
    - For Wealth Management Firms
- Broadridge Global Custody Solutions
- Broadridge Intelligent Analytics
- Broadridge Wealth Aggregation & Insights
- BRx Match
- BRx Match APAC
- Call Center
- - Capital Markets Disclosures
    - For Corporate Issuer
    - For Law Firms
- - Cash Management
    - For Capital Markets
    - For Wealth Management Firms
- Client Information Management
- Client Portal
- - Collateral Management
- Communications Consulting
- Compliance and Regulatory Accounting
- Compliance Reporting
- Composition
- Composition and Publishing for Legal Documents
- Comprehensive management of EETs
- - Connectivity
- - Consumer Preference and Profile Management
- Content Design and Management
- Content Management and Distribution
- Continuing Education
- Corporate Action
- Corporate Action Services
- Corporate Content
- Corporate Trade Confirmation Service
- - Credit and Market Risk
- Cross-border Fund Data & Document Distribution
- Customer Security Programme (CSP)
- Data Control Business Process Outsourcing
- Data Control Intelligent Automation
- Data Control Reconciliations
- Data Management Analytics and Reporting
- - Data Management and Archival
- Data Management Warehouse and Reporting
- - Data Management, Analytics and Reporting
- Deliver intelligent liquidity
- Derivatives Trade Processing
- - Digital Delivery
- Digital Document Delivery
- - Digital Experience Management
    - For
    - For Insurance
- Digital Makes It Easy
- Digital Solutions
- Direct Marketing
- Disclosures for Mutual Funds
- Distributed Ledger Repo
- - Distributed Marketing Solution
    - For Wealth Management Firms
    - For Wealth Management Firms
- - Distribution 360
    - For Global Funds
    - For Mutual Funds and ETF Providers
- Distributor Feedback Template service for Consumer Duty
- DocuBuilder for Legal
- DocuBuilder for Marketing
- - Document Composition
- Document Composition and SEC Filing
- Dynamic Fund Board Reporting
- eCards and Custom Email
- Elevate Disclosures
- End to end Securities Based Lending
- Engagement Simplified
- - Enhanced Packaging
    - For Corporate Issuer
    - For Non-Listed Issuer
- - Enhanced Proxy Design
    - For Corporate Issuer
    - For Law Firms
- Equity Trade Processing
- ESG Advisory Services
- ESG Analyzer
- ESG Consulting Solutions
- European Fund Market Intelligence
- Expense Management
- Expense Management business process outsourcing
- - Fact Sheets
    - For
    - For Global Funds
- FBF Intelligence
- fee and expense management
- Fi360 Data and Analytics
- - Fi360 Learning and Development
    - For Retirement Services Providers
    - For Retirement Services Providers
- - Fi360 Software and Technology
    - For Retirement Services Providers
    - For Retirement Services Providers
- Finance and Accounting
- Financial Report Preparation and Filing
- - Financial Reporting
    - For
    - For Corporate Issuer
- Fixed Income Trade Processing
- Foreign Exchange Trade Processing
- Full Service Tender Processing
- Fully Paid Lending
- Fund Data Distribution with the Galaxia Data API
- Fund Investor Portal
- - Global Market Intelligence
    - For Global Funds
    - For Mutual Funds and ETF Providers
- Global Post Trade Management
- - Global Securities Class Action Services
- - Global SWIFT Services
- Global Tax Reclaim and State Tax Reporting
- Intelligent Prospecting
- Interactive Online Document Management
- Intraday Repo Has Arrived on Scale
- - Intraday Risk Monitoring
    - For Alternative Managers
    - For Global Investment Managers
- - Investment Accounting
- Investor and Advisor Mailbox
- Investor Intelligence
- - InvestorView
    - For Trust Services Providers
    - For Wealth Management Firms
- IPO End to End Services
- Legal Remediation Engine
- - Local Business Listings
    - For
    - For Wealth Management Firms
- Locator
- Managed Reference Data Service
- - Managed Services, Hosting and Integration
- - Market Analytics
    - For Global Funds
    - For Mutual Funds and ETF Providers
- MiFID II Compliance
- Mortgage Backed Securities
- Multi-Channel Participant Communications
- Mutual Fund Data and Suitability
- Newsletters
- North American Post-Trade Processing
- Notice and Access & Inventory Management and Fulfillment
- - Operational Risk Management
    - For Capital Markets
    - For Wealth Management Firms
- Opportunity Hunter
- OpsGPT
- Pass-through Voting Insights
- Performance Analytics
- - Performance and Attribution
    - For Alternative Managers
    - For Global Investment Managers
- - Performance Dashboards and Operational Reports
- Point-of-Sale Prospectus
- - Portfolio and Order Management
- Portfolio Management for CLOs
- Portfolio Management for Private Debt
- Portfolio Securities Voting
- - Post Trade and Regulatory Compliance
    - For Alternative Managers
    - For Global Investment Managers
- Post trade FastStart
- Post Trade Matching
- Post Trade Processing Business Process Outsourcing
- Post Trade Processing Business Process Outsourcing for EMEA and APAC
- Post-Trade Processing
- - Pricing and Valuation
- PRIIP KID and EPT Production Reporting and Distribution
- Principal Risk Trading and Market Making
- - Print Delivery and Postal Optimization
- Print Marketing
- Print Solutions
- Professional Services
- Proxy Management
- Proxy Policies and Insights
- - Proxy Services
    - For Institutional Investors
    - For Mutual Funds and ETF Providers
- ProxyDisclosure
- - ProxyVote
    - For Corporate Issuer
    - For Non-Listed Issuer
- RealTime Content
- - Reconciliation
- Reconciliation for Corporate Treasury
- Reconciliation Managed Services
- Reference Data Business Process Outsourcing
- - Reference Data Management
- - Registered Proxy Services
- Regulatory and Investor Communications
- - Regulatory Communications
    - For
    - For Retirement Services Providers
- Regulatory Trade and Transaction Reporting
- Retirement CX
- Revport custodian bank billing management
- Risk and Transparency Reporting
- - Sales and Asset Reporting
- Section 16
- - Securities Finance
- - Seminars
    - For
    - For Wealth Management Firms
- SFT Submission Service
- Share Management Solution
- Shareholder Communications
- - Shareholder Data Services
    - For Corporate Issuer
    - For Non-Listed Issuer
- Shareholder Meeting Registration
- Smart Solutions for Reg BI
- Solvency II Reporting
- - Sponsored Name Placement
    - For
    - For Wealth Management Firms
- - Stock Transfer
    - For Corporate Issuer
    - For Law Firms
- - Tax Services
    - For Trust Services Providers
    - For Wealth Management Firms
- - Trade Processing and Settlement
    - For Retirement Services Providers
    - For Retirement Services Providers
- Trade Surveillance and Compliance
- Trading Platforms
- Translation Services
- - Trust and Custody Services
    - For Retirement Services Providers
    - For Retirement Services Providers
- UCITS KIIDs and EMT Production and Distribution
- - Vdr
    - For Corporate Issuer
    - For Law Firms
- Video Studio
- - Virtual Shareholder Meeting
    - For Corporate Issuer
    - For Law Firms
- - Visual Analytics
- Wealth Insight Services
- Welcome Kits and ID Cards
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Providing you with actionable insight and proven execution
- Practice Areas
- Communications and Customer Experience Consulting
- Operations Innovation and Execution
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Financial Services
Expert solutions for financial services for over five decades
Corporations
Streamline shareholder communications and management
- Corporate Treasury
- Increase efficiencies in managing cash and risk
- Non-Listed Issuer
- Enhanced shareholder engagement for alternative investments
Healthcare
Improve the member and patient experience across the wellness journey
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
- 15(c) Board Reporting
- - 22c-2 Compliance
    - For Mutual Funds and ETF Providers
    - For Retirement Services Providers
- Advisor Compensation
- Advisor Desktop Solutions
- Advisor Onboarding
- Advisor Resource Center
- Advisor Websites
- AdvisorStream
- - Annual Compliance
    - For Corporate Issuer
    - For Law Firms
- artificial intelligence
- Assessment of Value and Board Reporting
- Asset Servicing
- Association Election Management
- - Bank Debt and Loan Trading
- Banking Book Collateral Management
- - Beneficial Proxy Services
- - Billing and Expense Management
    - For Capital Markets
    - For Wealth Management Firms
- Branded Shareholder Portal
- - Broadridge Alternative Investments Hub
    - For Wealth Management Firms
    - For Wealth Management Firms
- Broadridge Global Custody Solutions
- Broadridge Intelligent Analytics
- Broadridge Wealth Aggregation & Insights
- BRx Match
- BRx Match APAC
- Call Center
- - Capital Markets Disclosures
    - For Corporate Issuer
    - For Law Firms
- - Cash Management
    - For Capital Markets
    - For Wealth Management Firms
- Client Information Management
- Client Portal
- - Collateral Management
- Communications Consulting
- Compliance and Regulatory Accounting
- Compliance Reporting
- Composition
- Composition and Publishing for Legal Documents
- Comprehensive management of EETs
- - Connectivity
- - Consumer Preference and Profile Management
- Content Design and Management
- Content Management and Distribution
- Continuing Education
- Corporate Action
- Corporate Action Services
- Corporate Content
- Corporate Trade Confirmation Service
- - Credit and Market Risk
- Cross-border Fund Data & Document Distribution
- Customer Security Programme (CSP)
- Data Control Business Process Outsourcing
- Data Control Intelligent Automation
- Data Control Reconciliations
- Data Management Analytics and Reporting
- - Data Management and Archival
- Data Management Warehouse and Reporting
- - Data Management, Analytics and Reporting
- Deliver intelligent liquidity
- Derivatives Trade Processing
- - Digital Delivery
- Digital Document Delivery
- - Digital Experience Management
    - For
    - For Insurance
- Digital Makes It Easy
- Digital Solutions
- Direct Marketing
- Disclosures for Mutual Funds
- Distributed Ledger Repo
- - Distributed Marketing Solution
    - For Wealth Management Firms
    - For Wealth Management Firms
- - Distribution 360
    - For Global Funds
    - For Mutual Funds and ETF Providers
- Distributor Feedback Template service for Consumer Duty
- DocuBuilder for Legal
- DocuBuilder for Marketing
- - Document Composition
- Document Composition and SEC Filing
- Dynamic Fund Board Reporting
- eCards and Custom Email
- Elevate Disclosures
- End to end Securities Based Lending
- Engagement Simplified
- - Enhanced Packaging
    - For Corporate Issuer
    - For Non-Listed Issuer
- - Enhanced Proxy Design
    - For Corporate Issuer
    - For Law Firms
- Equity Trade Processing
- ESG Advisory Services
- ESG Analyzer
- ESG Consulting Solutions
- European Fund Market Intelligence
- Expense Management
- Expense Management business process outsourcing
- - Fact Sheets
    - For
    - For Global Funds
- FBF Intelligence
- fee and expense management
- Fi360 Data and Analytics
- - Fi360 Learning and Development
    - For Retirement Services Providers
    - For Retirement Services Providers
- - Fi360 Software and Technology
    - For Retirement Services Providers
    - For Retirement Services Providers
- Finance and Accounting
- Financial Report Preparation and Filing
- - Financial Reporting
    - For
    - For Corporate Issuer
- Fixed Income Trade Processing
- Foreign Exchange Trade Processing
- Full Service Tender Processing
- Fully Paid Lending
- Fund Data Distribution with the Galaxia Data API
- Fund Investor Portal
- - Global Market Intelligence
    - For Global Funds
    - For Mutual Funds and ETF Providers
- Global Post Trade Management
- - Global Securities Class Action Services
- - Global SWIFT Services
- Global Tax Reclaim and State Tax Reporting
- Intelligent Prospecting
- Interactive Online Document Management
- Intraday Repo Has Arrived on Scale
- - Intraday Risk Monitoring
    - For Alternative Managers
    - For Global Investment Managers
- - Investment Accounting
- Investor and Advisor Mailbox
- Investor Intelligence
- - InvestorView
    - For Trust Services Providers
    - For Wealth Management Firms
- IPO End to End Services
- Legal Remediation Engine
- - Local Business Listings
    - For
    - For Wealth Management Firms
- Locator
- Managed Reference Data Service
- - Managed Services, Hosting and Integration
- - Market Analytics
    - For Global Funds
    - For Mutual Funds and ETF Providers
- MiFID II Compliance
- Mortgage Backed Securities
- Multi-Channel Participant Communications
- Mutual Fund Data and Suitability
- Newsletters
- North American Post-Trade Processing
- Notice and Access & Inventory Management and Fulfillment
- - Operational Risk Management
    - For Capital Markets
    - For Wealth Management Firms
- Opportunity Hunter
- OpsGPT
- Pass-through Voting Insights
- Performance Analytics
- - Performance and Attribution
    - For Alternative Managers
    - For Global Investment Managers
- - Performance Dashboards and Operational Reports
- Point-of-Sale Prospectus
- - Portfolio and Order Management
- Portfolio Management for CLOs
- Portfolio Management for Private Debt
- Portfolio Securities Voting
- - Post Trade and Regulatory Compliance
    - For Alternative Managers
    - For Global Investment Managers
- Post trade FastStart
- Post Trade Matching
- Post Trade Processing Business Process Outsourcing
- Post Trade Processing Business Process Outsourcing for EMEA and APAC
- Post-Trade Processing
- - Pricing and Valuation
- PRIIP KID and EPT Production Reporting and Distribution
- Principal Risk Trading and Market Making
- - Print Delivery and Postal Optimization
- Print Marketing
- Print Solutions
- Professional Services
- Proxy Management
- Proxy Policies and Insights
- - Proxy Services
    - For Institutional Investors
    - For Mutual Funds and ETF Providers
- ProxyDisclosure
- - ProxyVote
    - For Corporate Issuer
    - For Non-Listed Issuer
- RealTime Content
- - Reconciliation
- Reconciliation for Corporate Treasury
- Reconciliation Managed Services
- Reference Data Business Process Outsourcing
- - Reference Data Management
- - Registered Proxy Services
- Regulatory and Investor Communications
- - Regulatory Communications
    - For
    - For Retirement Services Providers
- Regulatory Trade and Transaction Reporting
- Retirement CX
- Revport custodian bank billing management
- Risk and Transparency Reporting
- - Sales and Asset Reporting
- Section 16
- - Securities Finance
- - Seminars
    - For
    - For Wealth Management Firms
- SFT Submission Service
- Share Management Solution
- Shareholder Communications
- - Shareholder Data Services
    - For Corporate Issuer
    - For Non-Listed Issuer
- Shareholder Meeting Registration
- Smart Solutions for Reg BI
- Solvency II Reporting
- - Sponsored Name Placement
    - For
    - For Wealth Management Firms
- - Stock Transfer
    - For Corporate Issuer
    - For Law Firms
- - Tax Services
    - For Trust Services Providers
    - For Wealth Management Firms
- - Trade Processing and Settlement
    - For Retirement Services Providers
    - For Retirement Services Providers
- Trade Surveillance and Compliance
- Trading Platforms
- Translation Services
- - Trust and Custody Services
    - For Retirement Services Providers
    - For Retirement Services Providers
- UCITS KIIDs and EMT Production and Distribution
- - Vdr
    - For Corporate Issuer
    - For Law Firms
- Video Studio
- - Virtual Shareholder Meeting
    - For Corporate Issuer
    - For Law Firms
- - Visual Analytics
- Wealth Insight Services
- Welcome Kits and ID Cards
Consulting Services
Providing you with actionable insight and proven execution
- Communications and Customer Experience Consulting
- Operations Innovation and Execution

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Video

Managing Risk at Brokerages

Delineates the ways brokerages are managing risk including capturing real-time data and implementing global processes across entities to test risk levels. Subscribe to our channel for more industry insights.

posted September 14 2012

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Michael Alexander, President of Broadridge Wealth and Capital Markets Solutions, reflects on the ways brokerages are managing risk including leveraging industry utilities, capturing data in real time, and implementing global processes across entities and business units to test risk levels.

Broadridge, a global Fintech leader with more than $6 billion in revenues, provides the critical infrastructure that powers investing, corporate governance and communications to enable better financial lives. We deliver technology-driven solutions that drive digital transformation for our clients and help them get ahead of today’s challenges to capitalize on what’s next.

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22c-2 Compliance

Annual Compliance

Bank Debt and Loan Trading

Beneficial Proxy Services

Billing and Expense Management

Broadridge Alternative Investments Hub

Capital Markets Disclosures

Cash Management

Collateral Management

Connectivity

Consumer Preference and Profile Management

Credit and Market Risk

Data Management and Archival

Data Management, Analytics and Reporting

Digital Delivery

Digital Experience Management

Distributed Marketing Solution

Distribution 360

Document Composition

Enhanced Packaging

Enhanced Proxy Design

Fact Sheets

Fi360 Learning and Development

Fi360 Software and Technology

Financial Reporting

Global Market Intelligence

Global Securities Class Action Services

Global SWIFT Services

Intraday Risk Monitoring

Investment Accounting

InvestorView

Local Business Listings

Managed Services, Hosting and Integration

Market Analytics

Operational Risk Management

Performance and Attribution

Performance Dashboards and Operational Reports

Portfolio and Order Management

Post Trade and Regulatory Compliance

Pricing and Valuation

Print Delivery and Postal Optimization

Proxy Services

ProxyVote

Reconciliation

Reference Data Management

Registered Proxy Services

Regulatory Communications

Sales and Asset Reporting

Securities Finance

Seminars

Shareholder Data Services

Sponsored Name Placement

Stock Transfer

Tax Services

Trade Processing and Settlement

Trust and Custody Services

Vdr

Virtual Shareholder Meeting

Visual Analytics

22c-2 Compliance

Annual Compliance

Bank Debt and Loan Trading

Beneficial Proxy Services

Billing and Expense Management

Broadridge Alternative Investments Hub

Capital Markets Disclosures

Cash Management

Collateral Management

Connectivity

Consumer Preference and Profile Management

Credit and Market Risk

Data Management and Archival

Data Management, Analytics and Reporting

Digital Delivery

Digital Experience Management

Distributed Marketing Solution

Distribution 360

Document Composition

Enhanced Packaging

Enhanced Proxy Design