Copyright 2012.2 Business Process Outsourcing Since 2004 Full Spectrum Operations Outsourcing ...

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Business Process

Outsourcing

Since 2004

Full Spectrum Operations OutsourcingFull Spectrum Operations Outsourcing Hosting & Technical Services via IBM AllianceHosting & Technical Services via IBM Alliance Operational scale to serviceOperational scale to service

North America Equity, Mutual Fund North America Equity, Mutual Fund Trade Processing SolutionsTrade Processing Solutions

150+ self clearing brokers150+ self clearing brokers

North America Fixed-Income North America Fixed-Income Solutions Trade ProcessingSolutions Trade Processing

30+ Clients, top 4 30+ Clients, top 4 primary dealersprimary dealers

90%+ of Primary Dealers 90%+ of Primary Dealers that outsource processing, that outsource processing, use Broadridgeuse Broadridge

International Processing International Processing ServicesServices

100+ Clients100+ Clients

50 Countries50 Countries

Reference Data ManagementReference Data Management

Shareholder Communication Shareholder Communication Proxy, Corporate ActionsProxy, Corporate Actions

900+ clients900+ clients

Transaction ReportingTransaction Reporting

Back-office Reports, Back-office Reports, Confirms, Statements, Confirms, Statements, Tax Reporting (1099s,etc.) Tax Reporting (1099s,etc.) Document Imaging and Document Imaging and ArchivalArchival

FulfillmentFulfillment

Distribution of Pre-and Distribution of Pre-and Post-Sale Client InformationPost-Sale Client Information

E-DeliveryE-Delivery

Securities Processing

Since 1962

InvestorCommunications

Since 1989

Accurate | Dependable | EfficientAccurate | Dependable | Efficient

Broadridge BusinessesNYSE: 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


Broadridge Products & Services

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Representative Broadridge Clients


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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


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Broadridge Solution Partners

InvestigoAlan Giancaterino: (610) 283-3271

SalesVisionGina Jurecki: (201) 681-1705

FUNDPointNicole Rocci: (617) 480-5565

RetireTool(k)itDean Rodewald: (303) 862-2775

ForefieldJohn Bracco: (508) 361-6332


Copyright 2012. 7Proprietary and Confidential

Investigo

®

Solutions


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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


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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


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Data Recon & Scrubbing

Specialized Talent & Resources• Data Acquisition

• Data Normalization

• Data Consolidation

• Data Parsing

• Data Reconciliation

• Data Scrubbing

• Data Posting


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Investigo Data Warehouse

Broker/DealerBroker/DealerHome OfficeHome Office

Vis

ibil

ity

Vis

ibil

ity

AdvisorsAdvisors

ClientsClientsInvestigoInvestigo

Data WarehouseData Warehouse

Investigo Data Investigo Data Model (IDM)Model (IDM)

Client-HostedClient-Hosted

Investigo Web-based Investigo Web-based Advisor SolutionAdvisor Solution

Broker/DealerBroker/DealerHome OfficeHome Office


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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


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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


Copyright 2012. 15Proprietary and Confidential Accurate | Dependable | EfficientAccurate | Dependable | Efficient

SalesVisionDistribution Manager

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The SVDM platform is comprised of three modulesThe SVDM platform is comprised of three modulesRevenue Manager • Sales Manager • Compliance ManagerRevenue Manager • Sales Manager • Compliance Manager

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

SalesVisionSales 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.


SalesVision Distribution Manager

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NSCC /DTCC

NSCC /DTCC

Clearing Firm Platform

Clearing Firm Platform

Direct Fund Business

Direct Fund Business

Trust Platform

Trust Platform

Pension PlatformPension Platform

3rd Party Brokerage Platform

3rd Party Brokerage Platform

In-house Brokerage Platform

In-house Brokerage Platform

Proprietary Systems

Proprietary Systems

Sur/PAS SystemSur/PAS System

SalesVisionSalesVision

Distribution ManagerDistribution Manager

Plan and Defined

Contribution Reporting

Plan and Defined

Contribution Reporting

Account Level Fee DisclosureAccount Level Fee Disclosure

Fee Billing, Income

Prediction and Reconciliation

Fee Billing, Income

Prediction and Reconciliation

22c-2 Compliance

22c-2 Compliance

Enterprise Sales

Reporting and Analysis

Enterprise Sales

Reporting and Analysis

Business Process

Outsourcing

Business Process

Outsourcing

Advisor and RR Compliance

Views

Advisor and RR Compliance

Views

Maximize Compensation Opportunities

Maximize Compensation Opportunities

Advisor and RR Sales

Management

Advisor and RR Sales

Management

Branch and Regional Sales

Reporting

Branch and Regional Sales

Reporting

Powerful rules-Powerful rules-based Enginebased Engine

Compensation Management: Reporting Reconciliation Invoicing

ComplianceManagement: Monitor sales practices Allows for effective compliance oversight

SalesManagement: Detail sales effectiveness Valuable sales mgmt. tool.


Your Firm’sYour Firm’s

Enterprise Wide DataEnterprise Wide Data


Copyright 2012. 19Proprietary and Confidential Accurate | Dependable | EfficientAccurate | Dependable | Efficient

FundPOINT ® Suite

Copyright 2012. 20Copyright 2012. 20

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

CoreFocus

Value

Proposition



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



Call Center Advisors

FundPOINT® Desktop forMutual Funds & 529s

Operations & Compliance

Check tradeswith FundPOINT Desktop& FundPOINT Research

Systems

Investor reading her prospectus on Prospectus Express

Front OfficeInvestors

FundPOINT ® Suite – How it Works


FundPOINT FundPOINT ®® Data Data Single-Source FeedSingle-Source Feed


FundPOINTFundPOINT ®®

DataDataFundPOINTFundPOINT

®®

DesktopDesktopFundPOINTFundPOINT

®®

ResearchResearchFundPOINTFundPOINT

®®

for 529 Plansfor 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



Matrix RetireTool(k)it™


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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.


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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


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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


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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



Forefield


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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


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ForefieldBenefits Advisors

Forefield allows your advisors to communicate regularly & more effectively

with their clients.

Building Relationships…Promoting Trust Providing Asset Gathering Opportunities


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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


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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


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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

CoreFocus

Value

Proposition


Copyright 2012.2 Business Process Outsourcing Since 2004 Full Spectrum Operations Outsourcing ...

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