Broadridge TechLeaders_3.19.12

gruesomebugscuffleSoftware and s/w Development

Nov 25, 2013 (3 years and 8 months ago)

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Business

Process

Outsourcing


Since 2004


Full Spectrum Operations Outsourcing


Hosting & Technical Services via IBM Alliance


Operational scale to service

North America Equity, Mutual Fund
Trade Processing Solutions


150+ self clearing brokers

North America Fixed
-
Income
Solutions Trade Processing


30+ Clients, top 4

primary dealers


90%+ of Primary Dealers

that outsource processing,

use Broadridge

International Processing

Services


100+ Clients


50 Countries

Reference Data Management

Shareholder Communication


Proxy, Corporate Actions


900+ clients

Transaction Reporting


Back
-
office Reports,

Confirms, Statements,

Tax Reporting (1099s,etc.)
Document Imaging and
Archival

Fulfillment


Distribution of Pre
-
and

Post
-
Sale Client Information


E
-
Delivery

Securities
Processing


Since 1962

Investor

Communications


Since 1989

Accurate | Dependable | Efficient


Broadridge Businesses

NYSE:

BR

I

www.broadridge.com

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Pre
-
Sale
Fulfillment /
Welcome Kits


Imaging and
Workflow
Solutions


Marketing
Consultation


New Account
Client

On
-
boarding


Order
Management


Cost Basis
reporting


Performance
Reporting


Customer
Relationship
Management


Data
Aggregation /
Investigo


Wealth Advisory
Tools


Advisor Mailbox


Compliance
Oversight


Global
Securities
Processing


Compliance
Tools


Reference Data
Management


Modular BPM


Data Center
Outsourcing


End
-
to
-
end tax
processing


Global
Corporate
Actions


Securities
Class Actions



Imaging and
Workflow
Solutions


Archival


E
-
Presentment


Investor Portal


Customer
Statements
Trade
Confirmations,
year end
reporting
(1099s,etc)


PostEdge


Investor
Mailbox


Proxy Services


Social
Networking


Statements,
Confirms, and
1099s


Post
-
Sale
Regulatory and
Compliant
Material


Customer
Driven
Processes


Operations


Call Centers


Co
-
location
Services

Account Opening

Advisor &
Wealth

Brokerage

Transaction

Processing

E
-
Solutions

Investor Communications

Business Processing
Outsourcing

Accurate | Dependable | Efficient


Broadridge Products & Services

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Representative Broadridge Clients

Accurate | Dependable | Efficient


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Broadridge Solution Partners


Investigo:

Acquired July 2008


Data aggregation solution provider



Access Data SalesVision:

Acquired May 2009


Distribution compensation management & reporting solution



New River FUNDPoint:

Acquired August 2010


Solution suite for Mutual Fund sales & compliance



Matrix RetireTool(k)it:

Acquired January 2011


Turn
-
Key retirement plan sales & management solution



Forefield:

Acquired December 2010


Solution suite for sales, education, and client communication

Accurate | Dependable | Efficient


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Broadridge Solution Partners

Investigo

Alan Giancaterino: (610) 283
-
3271


SalesVision

Gina Jurecki: (201) 681
-
1705


FUNDPoint

Nicole Rocci: (617) 480
-
5565


RetireTool(k)it

Dean Rodewald: (303) 862
-
2775


Forefield

John Bracco: (508) 361
-
6332

Accurate | Dependable | Efficient


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Proprietary and Confidential

Investigo

®

Solutions

Accurate | Dependable | Efficient


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Investigo Overview


“Platinum Source” for consolidated Investment & Insurance data



Advisor and BD back
-
office solutions



Founded in 2001 by financial advisors



Based in Ft. Wayne, IN



Serving 65 Broker/Dealers



Reputation for Customer Service excellence



Flexible and affordable pricing

Accurate | Dependable | Efficient


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Investigo


Extensive Scope


Direct Feed Data Sources


Brokerage Accounts:

-

Self
-
Cleared

-

Pershing

-

NFS


-

First Clearing


Direct Business:


(Funds, REITs, Variable Life & Annuities)

-

NSCC


-

DST

-

DAZL


-

Carriers


(Fixed Life & Annuities)

-

DTCC


-

Carriers


Fee
-
based Accounts (RIAs/IARs):

-

Schwab

-

Fidelity

-
Pershing

-

TD Ameritrade


HTML Data Sources
*
-

CashEdge: Bank Instruments, etc.

*
Additional fees apply directly from CashEdge

Accurate | Dependable | Efficient


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Data Recon & Scrubbing

Specialized Talent & Resources


Data Acquisition



Data Normalization



Data Consolidation



Data Parsing



Data Reconciliation



Data Scrubbing



Data Posting

Accurate | Dependable | Efficient


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Investigo Data Warehouse

Broker/Dealer

Home Office

Visibility

Advisors

Clients

Investigo

Data Warehouse

Investigo Data
Model (IDM)

Client
-
Hosted

Investigo Web
-
based
Advisor Solution

Broker/Dealer

Home Office

Accurate | Dependable | Efficient


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Investigo Data Model (IDM)


True replicated database vs. flat files



Delivered in your choice: IBM DB2, Oracle SQL, MS SQL



Resides on your server for direct access



Two
-
way information store of Firm & Rep activity



Provides reconciled & scrubbed data for fueling
mission
-
critical back office applications



Enables your technology team to deliver on their projects



Client
-
hosted application



Compatible with standard industry business intelligence
reporting packages (e.g. Cognos, Business Objects, etc.)

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Investigo Advisor Platform


Web
-
based


Configurable & Branded


Customizable


Investment Screens


Insurance Screens


Numerous Integrations


Lower License Fees


NO

Integration Fees


Unlimited Training


& Support


Higher Rep Adoption


Free

home
-
office
access

Accurate | Dependable | Efficient


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Client Reporting


Detail Level



Individual Security


Account


Portfolio


Household/Group


Performance



Consolidated


Internal Rate of Return


Time
-
weighted or Simple


Calendar or Point
-
to
-
Point


Multi
-
period


Net
-
of
-
fees


Asset Allocation


Sub
-
account detail


Rebalancing


Morningstar standard

Accurate | Dependable | Efficient


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Proprietary and Confidential

Accurate | Dependable | Efficient


SalesVision

Distribution Manager

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The SVDM platform is comprised of three modules

Revenue Manager


Sales Manager


Compliance Manager

SalesVision

Revenue Manager

A comprehensive
solution for distributors
to improve the accuracy
and efficiency of
processing fees and
invoicing.

SalesVision

Sales Manager
Identifies sales patterns
for Executive, Product,
Marketing, and Sales
Management through a
series of online pre
-
defined and/or ad
-
hoc
reports.

SalesVision
Compliance Manager
Provides risk
management via
centralizing data to
automate fund
surveillance,
disclosure, and
reporting.

Accurate | Dependable | Efficient


SalesVision Distribution Manager

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NSCC /

DTCC


Clearing Firm
Platform

Direct Fund
Business

Trust
Platform

Pension
Platform

3
rd

Party
Brokerage
Platform

In
-
house
Brokerage
Platform

Proprietary
Systems

Sur/PAS
System

SalesVision

Distribution Manager

Plan and
Defined
Contribution
Reporting

Account Level
Fee Disclosure

Fee Billing,
Income
Prediction and
Reconciliation

22c
-
2
Compliance

Enterprise
Sales
Reporting and
Analysis

Business
Process
Outsourcing

Advisor and RR
Compliance
Views

Maximize
Compensation
Opportunities

Advisor and RR
Sales
Management

Branch and
Regional Sales
Reporting

Powerful rules
-
based Engine


Compensation
Management
:



Reporting



Reconciliation



Invoicing


Compliance

Management
:



Monitor sales practices



Allows for effective


compliance oversight


Sales

Management
:



Detail sales effectiveness



Valuable sales mgmt.


tool.

Accurate | Dependable | Efficient


Your Firm’s

Enterprise Wide Data

SalesVision Distribution Manager

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Accurate | Dependable | Efficient


SalesVision Distribution Manager

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Proprietary and Confidential

Accurate | Dependable | Efficient


FundPOINT
®

Suite

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FundPOINT
®

Suite


Desktop & Data Solutions





Industry’s golden source for mutual fund security master data




EDGAR
-
sourced, updated daily




100% coverage of registered mutual funds and ETF’s




Reduces exposure to risk and NIGO trades




Reduce Costs & Errors


High quality data reduces NIGO trades as well as inaccurate information that
could deter a sale (i.e., wrong minimum investment)


Auditable


A fully auditable process aligned with FINRA’s methodology for share class
suitability analysis


Workflow Automation for Fund Information & Document Distribution


Contrast to the manual process of searching for information in prospectuses and
delivery of physical prospectuses that are prone to error and difficult to manage


Risk Mitigation


Prospectus sourced data with audit anchors to the document ensures advisors
have the most up
-
to
-
date information

Core

Focus

Value

Proposition

Accurate | Dependable | Efficient


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Mutual Fund & Other Registered Products
Content Database & Solutions

Over 30,000 document CUSIPs and
6 million data points monitored and
maintained from EDGAR daily from
a single source for registered
products including: mutual funds,
ETFS, ETNs, UITs, and Variable
Products with Related Subaccounts


Accurate | Dependable | Efficient


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Call Center

Advisors

FundPOINT®

Desktop for

Mutual Funds & 529s

Operations &

Compliance

Check trades

with FundPOINT Desktop

& FundPOINT Research

Systems

Investor reading
her prospectus on
Prospectus Express

Front
Office

Investors

FundPOINT
®

Suite


How it Works

Accurate | Dependable | Efficient


FundPOINT
®

Data

Single
-
Source Feed

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FundPOINT

®

Data

FundPOINT

®

Desktop

FundPOINT

®

Research

FundPOINT

®


for 529 Plans

Master Security
Data (MSD)




Share Class
Suitability




Point
-
of
-
Sale
disclosure





Fee Mgmt &
Disclosure




Sales
-
based
Fund Research




Legal Fund
Research


FundPOINT
®

Suite
Offers a Complete Solution

Accurate | Dependable | Efficient


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Proprietary and Confidential

Matrix
RetireTool(k)it



Accurate | Dependable | Efficient


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Matrix Overview


A leading provider of
TrueOpen

retirement product and services for third
party administrators, banks, insurance companies, broker/dealers firms
and financial advisors.



$130 Billion Mutual Fund Trading Platform



Serving more than 350 institutions


Broker/Dealers


Registered Investment Advisors


Third Party Administrators/Recordkeepers


Bank and Trust Companies



Custody of 40,000+ 401(k) Plans



Custody of 20,000+ 403(b) Plans



Highest Volume of MF Trades thru NSCC DCC&S for Last 8
-
yrs.

Accurate | Dependable | Efficient


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RetireTool(k)it
TrueOpen™ Architecture



RetireTool(k)it is a web
-
enabled suite of services:


Data Feed for Plan and Advisor level reporting


Access to a Level Compensation Service


Freedom of Investment Choice and Fund Research


Choice of Service Providers


TPA
\
Recordkeepers


Access to 3(21) and 3(38) Advisory Services


Point
-
of
-
Sale Materials


Investment Policy Statements


Branded Enrollment Kits


Full Fee Transparency and Disclosure


Quarterly Monitoring of Investments


Annual Plan Review



All services lead back to the Matrix Processing Platform


Accurate | Dependable | Efficient


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Value Proposition


Data Feed
-

ongoing reporting of all plans, assets, and activity held on
Matrix platform



Product Compliance & Control


customize choice of investments
and service providers



Level Compensation
-

for Commission Based Retirement Plan Sales


Eliminates Potential Conflict of Interest


Ensures any investment chosen yields same rep compensation


Single Source for Commission Collection, Remittance,
Reconciliation, & Reporting


Broker Dealer Firm Retains Control of Available Mutual Funds



Custom Branded Retirement Platform



Reports branded for broker
dealer firm versus product sponsor

Accurate | Dependable | Efficient


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Sales &
Marketing

Financial
Management

Regulatory
Compliance

Benefits
:



12(b)1 controls for fee
-
based & commissioned
reps



Control of selling
agreements



Competitive sales
expenses

Benefits
:



Competitiveness of
services



Ease of delivery (use)



Flexibility of choice



Branding

Benefits
:



Fiduciary oversight



Fee Transparency



Provider oversight



Data feed capabilities

RetireTool(k)it
Broker Dealer Benefits


Accurate | Dependable | Efficient


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Proprietary and Confidential

Forefield

Accurate | Dependable | Efficient


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Forefield Overview


Leading provider of real
-
time sales, education, and client communication
solutions for financial institutions and their advisors



Web
-
based platform enables financial advisors to deliver current and
concise educational and marketing materials to their clients



Forefield enterprise version provides significant savings



Provides access to more than 3,000 pieces of financial planning content


Articles


Client Presentations


Monthly & Weekly Newsletters


Time
-
sensitive Flash Videos


Seminars and Interactive Calculators



Continuously updated resources that reflect current legislation and
important industry trends



Content written to satisfy applicable FINRA compliance requirements



Share features such as Twitter, LinkedIN and Facebook now available

Accurate | Dependable | Efficient


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Forefield

Benefits

Advisors

Forefield allows your advisors to

communicate regularly & more effectively
with their clients.


Building Relationships…Promoting Trust
Providing Asset Gathering Opportunities

Accurate | Dependable | Efficient


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Area

Description


Advisor
Presentations &
Education


A sales, education, and client communication tool that enables financial advisors to
deliver current, concise and compliant resources to their clients


Forefield Advisor provides access to more than 3,000 resources made up of over
2,300 articles, 200 illustrations and tables, 200 interactive calculators, and over 400
presentations.


Web Sites / Web
Resources


An innovative solution that lets you create a professional, high
-
quality website in just
a few minutes! Utilizing a state
-
of
-
the
-
art website template, you can build your own
custom web pages (subject to compliance review for enterprise customers) and
integrate our timely, high
-
impact consumer content.


Allows you to enrich your website with current, concise and compliant financial
planning content


Composer


An e
-
mail solution that allows financial advisors to create, host, and distribute their
own content using Forefield's e
-
mail and web platform


Advisor generated communications, such as invitations, electronic greeting cards, and
articles can be created with a full range of text formatting controls and associated with
one or more images from a personal image library


Newsletters


A full
-
featured, monthly financial planning newsletter service offered to both
independent financial advisors and financial institutions


The Forefield Newsletter service allows financial advisors and institutions to create
customized, FINRA
-
reviewed, and fully branded newsletters for clients, including both
PDF and native HTML e
-
mail versions

Features: Forefield Services


All services are part of Forefield’s robust formatting and distribution platform

Accurate | Dependable | Efficient


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Forefield

Sample Client Videos

Accurate | Dependable | Efficient


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Forefield Advisor

Sample Content

Accurate | Dependable | Efficient


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Advisor Web Sites

Key Benefits



Easy setup



Professional designs



Custom graphic support



High quality content



Auto
-
updates



Full iOS compatibility



Compliance workflow



WORM storage



No required set
-
up fees

Accurate | Dependable | Efficient


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Forefield


Sales, Education, and Client Communication Solutions




Sales, education, and client communication tools




Provides enterprise
-
level advisor education and client presentation solutions to
financial institutions and advisors delivered through an easy
-
to
-
use website




Compliance risk management


Forefield’s FINRA reviewed content provides firms with the reassurance that
their advisors’ communications are compliant


Fee revenue enabler


Forefield’s products are key enablers as advisors move from transactional to
broader financial planning and wealth management services


Cost effective


Forefield’s solutions are cost
-
effective alternatives to in
-
house production of
general educational content and newsletters

Core

Focus

Value

Proposition

Accurate | Dependable | Efficient


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Questions

Accurate | Dependable | Efficient