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Broadridge Financial Solutions

Investor Communications, Technology and Operations, Data and Analytics

Broadridge, a global fintech leader with more than $14bn in market capitalisation, helps clients get ahead of the market’s current challenges to capitalise on future communications, technology, and data and analytics solutions that help transform their businesses.

Our investor communications, securities processing and managed services solutions help clients reduce their capital investments in operations infrastructure, allowing them to increase their focus on core business activities.

With more than 50 years of experience, Broadridge’s infrastructure underpins proxy voting services for over 50% of public companies and mutual funds worldwide and processes on average more than $7tn in fixed income and equity trades a day. Broadridge employs more than 11,000 full-time associates in 18 countries.

Solutions to help fulfil Shareholder Rights Directive obligations

If your firm holds or invests in European equities, it is time to get ready for the updated Shareholder Rights Directive (SRD II).

SRD II represents the biggest and most comprehensive change to European corporate governance standards and processes for many years. All entities in the investor communications chain are affected by the directive and the deadline for EU member states to transpose the regulation into national law, and by which intermediaries must comply, is 3 September 2020. The impact is global: although SRD II is an EC Directive, its mandate extends to intermediaries domiciled outside of the region if they hold shares in EU-based issuers listed on regulated markets.

By extending our world-class global proxy management solution and adding a blockchain-based shareholder disclosure management service, Broadridge is uniquely positioned to help banks, custodians, brokers, CSDs, and retail and institutional intermediaries meet their SRD II compliance obligations.

Innovative solutions that support your responsibilities under the directive include:

  • Shareholder disclosure – our new shareholder disclosure service facilitates time-sensitive monitoring, request handling and response filing
  • Agenda distribution and proxy voting – our solution supports the distribution of meeting agendas within stringent timeframes, daily votes reconciliation, and ‘without delay’ vote processing
  • Vote confirmation – take advantage of increased efficiency for electronic confirmation of vote receipts and the post-meeting recording and counting of votes

Data control reconciliations to deliver accurate, reconciled workflow data

Broadridge can assist clients to harness a single solution, extensively proven to drive operational efficiency across payments, settlement and all post-trade activities.

We can enable you to reconcile and process exceptions across departmental or enterprise-wide operations, and across all internal and external systems. It offers a truly multi-asset solution that enables a consolidated, unified view for all business lines and functions.

Other benefits include:

Data control intelligent automation: add a smart layer of control to your reconciliation and break-management processes. Machine learning algorithms automatically generate and improve matching rules, classify matching problems and suggest resolution steps. The result is fewer manual investigations and more time for mission-critical activity.

Choose from flexible delivery models: deploy faster with pre-defined models that cover a wide range of industry-standard processes. When unique requirements arise, our experts can help you tailor reconciliations from the ground up. Choose Cloud-based or on-site deployment or access a skilled operations team and enhance performance via a fully managed service option.

Solution coverage includes cash, ATM, cards, client money, nostro accounts, derivatives, reference data, securities, finance, loans/deposits, fees and commissions, and insurance.

Data control financial messaging and connectivity

Standardise and manage message types for payments, cash, commodities, securities, trade finance, and more.

Manage it all, from non-ISO to ISO-standard connectivity with counterparties, and harmonise messaging across a wide variety of sources and platforms.

Global post-trade management

Broadridge’s solutions simplify post-trade processing with a next-generation, unified solution, across multiple asset classes, markets, currencies and business entities. Gain transformative advantages by streamlining your post-trade operations from trade capture through clearance and settlement to books and records.

Our highly scalable, global multi-asset solution automates the processing lifecycle from trade capture through confirmation, interactive clearing and settlement, and integrated global market connectivity.

The system covers equities, fixed income, exchange-traded derivatives, over-the-counter (OTC) products, foreign exchange (FX) and money markets, repo and stock lending, collateral management.

Multiple entity, currency and asset brokerage processing for retail applications

Streamline fixed income, equities and related instruments such as warrants, deposits and loans in a single real-time solution, supporting every stage of investment from pre-order management to trading, settlement and asset servicing.

Real-time cash management for intraday cash flows

Automate cash management and provide real-time access to cash flows and visibility of global positions.

The Broadridge solution enables cash managers to manage their business more efficiently while reducing risk and costs related to manual cash activities and increasing volumes.

An enterprise platform to support billing and expense management

Improve the accuracy of fee and expense calculations, invoice management and accounting. Leverage a single solution to rationalise different provider agreements and rates.

Our platform helps firms find efficiencies, free up investment and gain deep insight into their businesses.

Retail banking solutions for targeted omnichannel communications

By delivering relevant content across channels, banks can sell more products and services to increase revenue, retain their most valuable customers and enhance their brand.

Reach customers across multiple channels with a single connection: deliver your customer communications such as statements, notices, regulatory documents and marketing materials. This can be performed across a range of channels, including print and post, email, text and more than ten emerging digital channels and gain immediate access as new channels emerge.

Engage customers with personalised, contextual experiences: use marketing and personalisation tools to enhance customer communications, from clearly presenting account information to offering additional products designed to increase lifetime customer value.

Shareholder Rights Directive: Everything you need to know

In September 2017, Broadridge, in collaboration with Aite Group, published a whitepaper entitled “Shareholder Rights Directive: Advancing to a State of Readiness”, which examined the broad themes of the updated Shareholder Rights Directive (the Directive) and the challenges and opportunities that it presented for the investor communications industry. To read more, please download this free white paper.


61 Robinson Road #10-01 Robinson Centre Singapore 068893 Singapore


605 Third Avenue 41st Floor New York, NY 10158 USA

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