Broadridge-Matrix Presentation

Report
Broadridge Overview
Bank Depository User Group
2013 Conference
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© 2012 Broadridge Financial Solutions, Inc. Broadridge and the Broadridge logo are registered trademarks of Broadridge Financial Solutions, Inc.
Broadridge’s Vision
Enable the Financial Services Industry to achieve superior
performance through our passion to deliver extraordinary
value to our clients, shareholders, and associates
 Give clients scale-based cost and performance by
outsourcing non-differentiating functions
 Enable clients to enter new markets and offer new
capabilities by leveraging our unique domain expertise
 Build new capabilities to serve clients better
 Deliver extraordinary value to clients, associates, and
shareholders
Value Proposition
Broadridge is committed to partnering with our clients to help grow their
revenues, expand their business, achieve operational efficiency, and effectively
manage compliance and risk.
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Our Businesses
Exchange: NYSE: BR | www.broadridge.com
 North America Equities, Options,

Proxy Communications
MF, ETF, Trade Processing
Services Fixed - Income Trade
Processing

Transaction Reporting

Fulfillment

Market Leader in E-delivery


International Processing
Services
Securities
Processing
Investor
Communications
Reference Data Management
Since 1962
Since 1989
Business
Process
Outsourcing
Since 2004
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Recent Acquisitions
 Broadridge Financial Solutions’ recent acquisitions are aligned
with our overall strategy of providing value added solutions to
the investment services community
 Over the last two years Broadridge has significantly expanded
our offerings in:




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Buy-side solutions
Mutual fund processing solutions
Transfer agency solutions
Education / client communication solutions for financial institutions
and advisors
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Bonaire, a Broadridge Company
Revenue and Fee Billing Solutions
 Founded in 1999 with offices in Boston and London - Acquired by
Broadridge July 2013
 REVPORT – Revenue and Expense Management Engine
 Clients in North America, EMEA, and Asia Pacific
 REVPORT – Revenue Management and Fee Billing Software
 Global Client Base with over $10.4 trillion AUM
 128 Clients worldwide have Selected REVPORT
 14 of the top 20 Largest Global Asset Managers license REVPORT
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Bonaire, a Broadridge Company
Typical Environment
 Manual Processes and Spreadsheet Dependent
REVPORT – Speed, Accuracy, and Business Intelligence
 Large Operational Risk Exposure
REVPORT – Full Audit Trail and Security
 Inefficient Process and Lack of Scalability
REVPORT – Automated Workflow and Exception Based Processing
 Fee Leakage - Over Bill or Under Bill?
REVPORT – Calculate the Correct Amount
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Products for Banks and Brokers

Domestic Proxy Processing - Fully automated distribution of proxy and
other shareholder communications including Quarterly, Semi-Annual, and
Annual Reports, Regulatory Prospectus and Supplements, Corporate
Announcements

Global Proxy - A complete, fully automated outsource solution for Banks
& Brokers providing their clients/advisors with the ability to vote on
shareholder meetings of their International (non-US) securities

Postsale Prospectus - Regulatory compliance document fulfillment for
first dollar in transactions

Reorg - Automated distribution of voluntary corporate action notices
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Electronic Document Management - Ability to design, print, archive and
distribute transaction statements electronically or by traditional mail
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Products for Banks and Brokers

Tax Managed Services and Information Reporting Services - Provide
banks and brokerage firms with the most comprehensive reclassification
and filing service available, covers OID, REMICs, REITs, UITs, MLP

Forefield - Web-based platform enables financial advisors to deliver
current and concise educational and marketing materials to their clients.
Access to more than 3000 pieces of financial planning content including
articles and client presentations, monthly and weekly newsletters, time
sensitive flash videos, seminars and interactive calculators

Mutual Fund Trading - A trading platform offers innovative technology,
combined with the power of the NSCC’s Fund/SERV Networking and the
Defined Contribution Clearing & Settlement (DCC&S) to provide a true,
straight-through trade process

Money Market Portal - Capture daily rates, position balances, dividends,
and transaction confirmations for import to your trust accounting system,
with same day settlement
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Products for Banks and Brokers

Paladyne - a leading provider of next generation investment management
solutions. Paladyne offers its integrated front-, middle- and back-office
platform, known as the Paladyne Suite™, to hedge funds, asset managers,
fund administrators and prime brokers

Broadridge City Networks (BCN) - a leading software and services
provider of reconciliation, multi-asset process automation and
operational risk management solutions to the global financial services
industry
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