Portfolio-Specific Printing

Portfolio-specific documents reduce page count and compliance costs

• Cuts fulfillment costs significantly while helping to meet investor disclosure obligations
• Improves investor relations with personalized communications
• Easily integrates with Broadridge's e-delivery and e-consent solution

Broadridge's Portfolio-Specific Printing^sm (PSP) enables financial institutions to deliver a custom disclosure booklet for each investor. It's an intelligent approach to fulfillment that helps meet compliance obligations and reduce investor disclosure costs while eliminating 80-90% of the pages delivered by a traditional, catalog-style mailing. With PSP, firms print and deliver only those documents relevant to each investor's actual holdings. These tailored documents not only cut costs, they also improve customer relations by replacing an anonymous catalog with a more personalized investor mailing.

Broadridge maintains the accuracy of its disclosure documents through a patented process that dynamically links disclosure information to the SEC's EDGAR system with built-in, daily updates. No other vendor offers a solution that matches the Broadridge portfolio-matching process, with total support of each firm's particular business rules. Additionally, Portfolio-Specific Printing interfaces with any qualified printer or internal print shop –enabling firms to source print competitively to ensure the lowest cost with a high level of service.

• Individual Variable Annuity Providers – Replace bulky and expensive catalog-style compliance mailings with targeted portfolio-specific disclosure books eliminating 80 - 90% of the pages traditionally delivered.
• Retirement Plan Providers – Replace periodic fulfillment house delivery of fund documents to 403(b) plan participants with timely portfolio-specific mailings keyed to each participant's holdings, and a daily first-dollar process to cover transactions. Offer 401(k) plan sponsors a cost-effective 404(c) Safe Harbor compliance option.
• Third-Party Administrators (TPAs) – Offer a cost-effective 404(c) Safe Harbor compliance solution as a premium service option at the employer level.

• All U.S. open-end mutual funds
• All U.S. exchange-traded funds (ETFs)
• 529 college savings plans
• Variable annuity subaccounts
• Variable life and variable universal life subaccounts

Reduces Paper and Costs

• Eliminates 80 - 90% of the Content – Replaces wasteful, catalog-style disclosure books with slim, custom booklets at a fraction of the print and postage costs.
• Printer Independence – Works with any qualified printer (including a firm's internal print shop) and enables firms to source print competitively to ensure the lowest-cost, best-service levels.
• E-Delivery Available – Integrates with Prospectus Express (Broadridge's electronic prospectus and disclosure document service) and Total E-Consent Solution (Broadridge's consent marketing and management service) for maximum savings.
• Flexible Delivery – Supports any business rule a firm wants to apply to deliveries (such as account activity filters, house-holding rules, business line segmentation, supplement relevance tests, etc.) to balance a firm's investor disclosure with economics.

• Timely, Accurate Delivery – Broadridge offers a daily first-dollar prospectus delivery process that is timely and accurate because it is sourced directly from the SEC's EDGAR system.
• Investor Relevance – Only Broadridge provides "portfolio-specific" document database management which delivers "personalized" disclosure documents reflecting an individual's investment holdings and nothing more.
• Green Solution – "Portfolio-specific" also means a significantly reduced page count which can improve investor satisfaction and save more trees, ensuring an eco-friendly disclosure document solution.

• EDGAR-Sourced, Updated Daily – Broadridge's patented process technology incorporates the latest SEC filings daily from EDGAR, ensuring investor disclosure documents are the most accurate and up-to-date information available.
• SEC Form N-1A Compliant – Broadridge meets SEC requirements for presenting performance graphics in prospectuses (e.g., bar chart showing total annual return for 10 years or life of fund) and annual reports (e.g., line graph showing growth of $10,000 investment over 10 years or life of fund).