Broadridge Financial Solutions, Inc. · NYSE:BR

Broadridge Financial Solutions — Conference Presentation (November 2018)

16 slides from Broadridge Financial Solutions's conference presentation, November 2018

  1. Slide 1: 30e-3 Transition Period: Preference Management Election Capture

    November 2018 30e-3 Transition Period Preference Management Election Capture

  2. Slide 2: Summary of Rule 30e-3

    Summary of Rule 30e-3 Key aspects of Rule 30e-3 • Rule 30e-3 allows, but does not mandate, mutual funds to use a ‘Notice & Access’ method to deliver Annual Reports (ARs) and Semi Annual Reports (SARs) instead of mailing a full paper report. • Funds can mail a notice of the availability of shareholde

  3. Slide 3: Requirements of Transition Period

    Requirements of Transition Period • Rule is optional and effective January 1, 2019, with notice distribution not starting before January 1, 2021. • Extended transition period starts January 1, 2019 – need to provide two years of notification to shareholders if using notice before January 1, 2022. –

  4. Slide 4: Preference Capture

    Preference Capture An industry solution for preference capture needs to account for various factors: 1. The SEC has prescribed notification language in ARs/SARs and Prospectuses but has left it to Funds to include specific instructions for direct-held and beneficial shareholders on how to change del

  5. Slide 5: Delivery Methods: Post January 1, 2019 - Paperwrap

    Delivery Methods: Post January 1, 2019 Paperwrap © 2018 | 4

  6. Slide 6: Delivery Methods: Post January 1, 2019 - Window Envelopes

    Delivery Methods: Post January 1, 2019 Window Envelopes © 2018 | 5

  7. Slide 7: Delivery Methods: Post January 1, 2019 - Inkjet

    Delivery Methods: Post January 1, 2019 Inkjet © 2018 | 6

  8. Slide 8: Broadridge's technology platform and distribution solution

    Broadridge’s technology platform and distribution solution Key elements of the solution • FundReports.com – a central preference capture website that shareholders can use to elect their delivery preferences for full reports or e-delivery • 1800 toll free number – where shareholders can use an IVR to

  9. Slide 9: Recommended disclosure language for fund reports and prospectuses

    Disclosure language should be clear to tell target shareholders what to do without being so specific that it might cause confusion for non-target shareholders Recommended disclosure language on the cover page of all fund reports and prospectuses Beginning on [date], as permitted by regulations adopt

  10. Slide 10: Wireframes

    Wireframes Broadridge’

  11. Slide 11: FundReports.com

    FundReports.com POWEREDEY BQ Broadridge Mutual Fund Reports - register your preferences here Important Information As an investor, you have options for how mutual fund reports are received. WHAT HAS CHANGED Make your choice here - it's a simple three step process: New rules by the U.S. Securities an

  12. Slide 12: FundReports.com

    FundReports.com Important Information WHAT HAS CHANGED New rules by the U.S. Securities and Exchange Commission (SEC) permit mutual funds and Exchange Traded Funds (ETFs) to mail you a notice of the availability of your annual and ‘semiannual reports (beginning January 1, 2021) instead of a full pap

  13. Slide 13: Leaving the FundsReports.com website redirect

    You are now leaving the FundsReports.com website and will automatically be redirected within 5 seconds to an external site to enroll. es Broadridge’ © 2018 | 12

  14. Slide 14: FundReports.com

    FundReports.com Important Information WHAT HAS CHANGED New rules by the U.S. Securities and Exchange Commission (SEC) permit mutual funds and Exchange Traded Funds (ETFs) to mail you a notice of the availability of your annual and ‘semiannual reports (beginning January 1, 2021) instead of a full pap

  15. Slide 15: Your Document Preferences have been saved

    Your Document Preferences have been saved! Do you have another package? nter new unique IC SUBMIT es Broadridge’ © 2018 | 14

  16. Slide 16: Copyright and distribution notice

    No part of this document may be distributed, reproduced or posted without the express written permission of Broadridge Financial Solutions, Inc. ©2018 Broadridge Financial Solutions, Inc. All rights reserved. Broadridge and the Broadridge logo are registered trademarks of Broadridge Financial Soluti

Broadridge Financial Solutions — Conference Presentation (November 2018) on 6ix