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Company Description

Contact Info

5 Dakota Drive

Suite 300

Lake Success, NY 11042

United States

Phone: 516-472-5400


on of consents; maintenance of a database that contains the delivery method preferences of its clients’ customers; posting of documents on the Internet; email notification to investors notifying them that proxy materials are available; and proxy voting through the Internet, mobile devices and tablets. In addition, the company provides a complete outsourced solution for the processing of international proxies. The company also provides a complete reorganization communications solution to notify investors of reorganizations or corporate action events, such as tender offers, mergers and acquisitions, bankruptcies, and class action lawsuits. The company also offers its bank and brokerage clients financial information distribution and transaction reporting services to help them meet their regulatory compliance requirements and business needs, including prospectus fulfillment services; electronic prospectus services; PostEdge, its electronic document archival and electronic delivery solution for documents, including trade confirmations, tax documents and account statements; marketing communications; imaging, archival and workflow solutions; and on-demand digital print services. In addition, the company offers its Mailbox products-Advisor Mailbox and Investor Mailbox, which support and complement any investor communication strategy. The company’s Investor Mailbox solution provides the electronic delivery of investor communications to its clients’ Websites, enabling investor access to regulatory delivery notices, day-to-day account and investment information and convenient response tools. The company’s Advisor Mailbox is an electronic communications platform for financial advisors that delivers immediate electronic access to the communications and documents sent to such advisors’ customers. Advisor Mailbox streamlines multiple communication paths for all investor-related documents into a single-visit portal that is integrated onto an advisor’s platform. The company also provides tax services to financial services firms that support their various daily workflows, supervisory control and client reporting requirements for information reporting (Forms 1099 and 1042-S), with a focus on securities and fund processing and clearance operations. The company’s tax data services provide tax content and data management, including securities tax classifications and reclassifications, calculations of original issue discount and other accrual and cost basis adjusting events. The company’s tax managed services provide technology, withholding services and client reporting, including print/electronic distribution and archival. The company’s NewRiver, Inc. business provides important capabilities for the broker-dealer and retirement and annuity markets. The company’s subsidiary, Forefield, Inc. (Forefield), provides sales, education and client communications solutions for financial institutions and their advisors. Forefield has expanded its services portfolio to leverage its financial content for use by financial services firms in their social media content libraries. Forefield’s Women’s Resource Center, which contains a selection of content for both the advisor and their client, focuses primarily on the requirements and challenges faced by women investors. In 2013, the company launched another investment operations offering, Global Securities Class Action services (GSCA). GSCA is a securities class action monitoring, notification, and filing service for broker-dealers, trust banks, hedge funds, mutual funds and the advisor markets. The company has approximately 250 GSCA clients. In 2014, the company added to its portfolio of services for financial advisors with the Emerald acquisition. Emerald enables financial institutions and their advisors to advise, educate and communicate with their clients and prospects through a suite of solutions, including Websites and Web optimization services, seminars, newsletters, and print and electronic prospecting campaigns. In the year ended June 30, 2015, the company expanded its suite of solutions for wealth and asset managers through the acquisition of Direxxis LLC (Direxxis). Direxxis is a


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