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Compliance


Compliance - Advisory Contract Renewal 15(C) Services

At Broadridge, we offer a wide array of report content to assist fiduciaries in meeting their responsibilities with each client’s reports customized to suit their unique requirements. We produce our reports by using a time-tested methodology which is widely-accepted by fund companies and boards alike. With regards to data accuracy, we lead the way with net asset values and distribution data downloaded daily directly from FINRA. Expense data collected from audited annual reports is available for all classes of shares of all ‘40 Act registered funds—we can provide nearly any level of detail.

15c Board Reporting

15c Board Reporting Compliance & Renewal Services

22c2 Compliance

Identify potential market timing situations to comply with SEC Rule 22c-2.