rovides specialized transaction processing tools and services for small to mid-market financial firms in Canada. The company also provides fixed income transaction processing capabilities and support for front-, middle-, and back-office functions. The company’s securities processing services are integrated with its Web-based desktop applications, wealth management tools, enterprise workflow, automated inquiry reporting, and record-keeping services. International Securities Processing Services: The company provides advanced multi-currency transaction processing solutions for institutional and retail securities operations, corporate actions, and business process outsourcing services, such as data cleansing. In 2013, the company entered a strategic alliance with Accenture plc (Accenture) to launch Accenture Post-Trade Processing, combining Accenture’s global business process outsourcing capabilities and global capital markets industry expertise with the company’s post-trade securities processing technology. Business Process Outsourcing Services: The company also provides business process outsourcing services that support the operations of its clients’ businesses including their securities clearing, record-keeping, and custody-related functions. Broadridge’s Integrated Solutions The company’s core systems for processing equity, option, and mutual fund transactions in the U.S. markets can also be combined with its specialized systems for processing fixed income and international securities transactions. These specialized securities processing services are integrated with business process outsourcing services. In addition, its clients can integrate its securities processing and business process outsourcing services with its other services including: the processing of trade confirmations and account statements, delivered in paper or electronically; equity and mutual fund prospectus processing; automated workflow tools that help its clients streamline their securities processing and operations activities; and a full suite of wealth management products including data aggregation tools, end-customer Websites, broker desktop, financial planning and modeling tools, performance reporting and portfolio accounting. Customers The company serves a diverse client base in the financial services industry, including retail and institutional brokerage firms, global banks, mutual funds, annuity companies, institutional investors, specialty trading firms, clearing firms, third party administrators, hedge funds, and financial advisors. The company also provides services to corporate issuers. Seasonality The company processes and distributes the greatest number of proxy materials and annual reports during its fourth quarter (the second quarter of the calendar year). The recurring periodic activity of this business is linked to significant filing deadlines imposed by law on public reporting companies and mutual funds. Historically, this has caused its revenues, operating income, net earnings, and cash flows from operating activities to be higher in its fourth quarter than in any other quarter. Regulations Certain of the company’s securities processing operations are periodically reviewed by the U.S. Federal Financial Institutions Examination Council (FFIEC) under its authority to examine financial institutions’ technology service providers. The company’s business process outsourcing and mutual fund processing services are performed by a securities broker-dealer, Broadridge Business Process Outsourcing, LLC (BBPO). BBPO is registered with the Securities and Exchange Commission, is a member of the Financial Industry Regulatory Authority, Inc. and is required to participate in the Securities Investor Protection Corporation (SIPC).
broadridge financial solutio
1981 Marcus Avenue
Lake Success, NY 11042
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