Case Study: Large Variable Annuity Provider achieves regulatory compliance and improved investor experience with Broadridge

Achieve Regulatory Compliance & Improve Investor Experience

A large variable annuity provider with more than 1 million contracts was struggling to manage, deliver, and report on regulatory document fulfillment across multiple systems and reports. Broadridge helped address this compliance challenge with data management and fulfillment services designed to streamline prospectus and other regulatory communications.

Broadridge took in data from multiple systems, aggregated it, applied both best-practice and client-specific business rules, and automated fulfillment with minimal IT strain. Broadridge also created a reporting dashboard covering all 1 million+ contracts, giving the customer clear visibility into fulfillment status and links to each delivered document, while acting as the client’s regulatory data hub.