www.broadridge.com
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Submitted URL: http://app.go.broadridge1.com/e/er?utm_campaign=WM%20-%20Email%201-SBL%20Drip-%20EMEA_Apr%202022&utm_medium=email&utm_source=E...
Effective URL: https://www.broadridge.com/intl/article/wealth-management/how-to-tell-if-your-clients-could-benefit-from-a-securities-based...
Submission: On May 13 via api from CH — Scanned from DE
Effective URL: https://www.broadridge.com/intl/article/wealth-management/how-to-tell-if-your-clients-could-benefit-from-a-securities-based...
Submission: On May 13 via api from CH — Scanned from DE
Form analysis
3 forms found in the DOMGET /intl/search
<form method="get" action="/intl/search">
<!-- <input type="search" name="q" class="form__field__input--text search-box__input" id="nav__search-box" placeholder="Search" /> -->
<input autocorrect="off" autocapitalize="off" spellcheck="false" role="combobox" aria-autocomplete="list" aria-expanded="true" title="Search Keyword" type="search" name="q" class="form__field__input--text search-box__input" id="nav__search-box"
placeholder="Search">
<div class="form__field search_submit"><button class="form__field__input form__field__input--button cta trekk_articles" aria-label="Contact Sales">Search</button></div>
<a href="#" class="search-box__clear inactive">
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<title>Icon Search Clear</title>
<defs></defs>
<g id="search" stroke="none" stroke-width="1" fill="none" fill-rule="evenodd" opacity="0.5">
<g id="BR_Search_02_Predictive" transform="translate(-1101.000000, -120.000000)" fill="#FFFFFF">
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</a>
</form>
<form data-inquiry-type="Speak with a Sales Rep" novalidate="novalidate"><input name="elqFormName" type="hidden" value="web50_masterForm"> <input name="elqSiteID" type="hidden" value="1756"><input name="datalayerheader" type="hidden"
value="Talk to us"><input name="contact" type="hidden" value="on"><input title="bot comments1" name="comments_87" class="botcomment" type="text" value=""> <input name="comments_88" title="bot comments2" class="botcomment" type="text" value="">
<input name="elqCustomerGUID" type="hidden" value="7585ec7e-e76b-41f6-b7f3-4b6a4069c9ef"> <input name="elqCookieWrite" type="hidden" value="0"> <input name="segment" type="hidden"
value="wealth-management"><!-- data-form-target is the group of inputs to show, data-form-focus is the field in that group to focus on click --> <button class="form__expand-button" id="contact-broadridge__full-name" role="button"
aria-label="Form Input Name Button" data-form-focus="#contact-broadridge__first-name" data-form-target="#contact-broadridge__user-name-fields"> <span class="contact-broadridge-full-name" id="contact-broadridge__name">Full Name</span> </button>
<div class="form__group hidden" id="contact-broadridge__user-name-fields">
<div class="form__field"><input name="name_first" class="form__field__input form__field__input--text form__field__input-group" id="contact-broadridge__first-name" aria-label="First Name" type="text" placeholder="First Name"
data-expand-parent="#contact-broadridge__full-name"></div>
<div class="form__field"><input name="name_last" class="form__field__input form__field__input--text form__field__input-group" id="contact-broadridge__last-name" aria-label="Last Name" type="text" placeholder="Last Name"
data-expand-parent="#contact-broadridge__full-name"></div>
</div>
<div class="form__field"><input name="email_work" class="form__field__input form__field__input--text" aria-label="Work Email" type="text" placeholder="Work Email Address"></div>
<div class="form__field"><input name="phone_business" class="form__field__input form__field__input--text" aria-label="Work Phone" type="text" placeholder="Work Phone"></div>
<div class="form__group">
<div class="form__field"><input name="company" class="form__field__input form__field__input--not-empty form__field__input--text" aria-label="Company Name" type="text" placeholder="Company Name"></div>
<div class="form__field"><input name="job_title" class="form__field__input form__field__input--text" aria-label="Job Title" type="text" placeholder="Job Title"></div>
</div>
<div class="form__field">
<div class="form__field__select-wrapper first-child-as-placeholder"><select name="country" class="form__field__input form__field__input--select" aria-label="Country">
<option class="select__option" value="" disabled="" selected="">Country</option>
<option value="United States">United States</option>
<option value="Canada">Canada</option>
<option value="United Kingdom">United Kingdom</option>
<option value="Afghanistan">Afghanistan</option>
<option value="Aland Islands">Aland Islands</option>
<option value="Albania">Albania</option>
<option value="Algeria">Algeria</option>
<option value="Andorra">Andorra</option>
<option value="Angola">Angola</option>
<option value="Anguilla">Anguilla</option>
<option value="Antarctica">Antarctica</option>
<option value="Antigua and Barbuda">Antigua and Barbuda</option>
<option value="Argentina">Argentina</option>
<option value="Armenia">Armenia</option>
<option value="Aruba">Aruba</option>
<option value="Australia">Australia</option>
<option value="Austria">Austria</option>
<option value="Azerbaijan">Azerbaijan</option>
<option value="Bahamas">Bahamas</option>
<option value="Bahrain">Bahrain</option>
<option value="Bangladesh">Bangladesh</option>
<option value="Barbados">Barbados</option>
<option value="Belarus">Belarus</option>
<option value="Belgium">Belgium</option>
<option value="Belize">Belize</option>
<option value="Benin">Benin</option>
<option value="Bermuda">Bermuda</option>
<option value="Bhutan">Bhutan</option>
<option value="Bolivia, Plurinational State of">Bolivia, Plurinational State of</option>
<option value="Bonaire, Sint Eustatius and Saba">Bonaire, Sint Eustatius and Saba</option>
<option value="Bosnia and Herzegovina">Bosnia and Herzegovina</option>
<option value="Botswana">Botswana</option>
<option value="Bouvet Island">Bouvet Island</option>
<option value="Brazil">Brazil</option>
<option value="British Indian Ocean Territory">British Indian Ocean Territory</option>
<option value="Brunei Darussalam">Brunei Darussalam</option>
<option value="Bulgaria">Bulgaria</option>
<option value="Burkina Faso">Burkina Faso</option>
<option value="Burundi">Burundi</option>
<option value="Cambodia">Cambodia</option>
<option value="Cameroon">Cameroon</option>
<option value="Cape Verde">Cape Verde</option>
<option value="Cayman Islands">Cayman Islands</option>
<option value="Central African Republic">Central African Republic</option>
<option value="Chad">Chad</option>
<option value="Chile">Chile</option>
<option value="China">China</option>
<option value="Chinese Taipei">Chinese Taipei</option>
<option value="Christmas Island">Christmas Island</option>
<option value="Cocos (Keeling) Islands">Cocos (Keeling) Islands</option>
<option value="Colombia">Colombia</option>
<option value="Comoros">Comoros</option>
<option value="Congo">Congo</option>
<option value="Congo, the Democratic Republic of the">Congo, the Democratic Republic of the</option>
<option value="Cook Islands">Cook Islands</option>
<option value="Costa Rica">Costa Rica</option>
<option value="Cote d'Ivoire">Cote d'Ivoire</option>
<option selected="selected" value="">Country</option>
<option value="Croatia">Croatia</option>
<option value="Cuba">Cuba</option>
<option value="Curacao">Curacao</option>
<option value="Cyprus">Cyprus</option>
<option value="Czech Republic">Czech Republic</option>
<option value="Denmark">Denmark</option>
<option value="Djibouti">Djibouti</option>
<option value="Dominica">Dominica</option>
<option value="Dominican Republic">Dominican Republic</option>
<option value="Ecuador">Ecuador</option>
<option value="Egypt">Egypt</option>
<option value="El Salvador">El Salvador</option>
<option value="Equatorial Guinea">Equatorial Guinea</option>
<option value="Eritrea">Eritrea</option>
<option value="Estonia">Estonia</option>
<option value="Ethiopia">Ethiopia</option>
<option value="Falkland Islands (Malvinas)">Falkland Islands (Malvinas)</option>
<option value="Faroe Islands">Faroe Islands</option>
<option value="Fiji">Fiji</option>
<option value="Finland">Finland</option>
<option value="France">France</option>
<option value="French Guiana">French Guiana</option>
<option value="French Polynesia">French Polynesia</option>
<option value="French Southern Territories">French Southern Territories</option>
<option value="Gabon">Gabon</option>
<option value="Gambia">Gambia</option>
<option value="Georgia">Georgia</option>
<option value="Germany">Germany</option>
<option value="Ghana">Ghana</option>
<option value="Gibraltar">Gibraltar</option>
<option value="Greece">Greece</option>
<option value="Greenland">Greenland</option>
<option value="Grenada">Grenada</option>
<option value="Guadeloupe">Guadeloupe</option>
<option value="Guatemala">Guatemala</option>
<option value="Guernsey">Guernsey</option>
<option value="Guinea">Guinea</option>
<option value="Guinea-Bissau">Guinea-Bissau</option>
<option value="Guyana">Guyana</option>
<option value="Haiti">Haiti</option>
<option value="Heard Island and McDonald Islands">Heard Island and McDonald Islands</option>
<option value="Holy See (Vatican City State)">Holy See (Vatican City State)</option>
<option value="Honduras">Honduras</option>
<option value="Hong Kong">Hong Kong S.A.R</option>
<option value="Hungary">Hungary</option>
<option value="Iceland">Iceland</option>
<option value="India">India</option>
<option value="Indonesia">Indonesia</option>
<option value="Iran, Islamic Republic of">Iran, Islamic Republic of</option>
<option value="Iraq">Iraq</option>
<option value="Ireland">Ireland</option>
<option value="Isle of Man">Isle of Man</option>
<option value="Israel">Israel</option>
<option value="Italy">Italy</option>
<option value="Jamaica">Jamaica</option>
<option value="Japan">Japan</option>
<option value="Jersey">Jersey</option>
<option value="Jordan">Jordan</option>
<option value="Kazakhstan">Kazakhstan</option>
<option value="Kenya">Kenya</option>
<option value="Kiribati">Kiribati</option>
<option value="Korea, Democratic People's Republic of">Korea, Democratic People's Republic of</option>
<option value="Korea, Republic of">Korea, Republic of</option>
<option value="Kuwait">Kuwait</option>
<option value="Kyrgyzstan">Kyrgyzstan</option>
<option value="Lao People's Democratic Republic">Lao People's Democratic Republic</option>
<option value="Latvia">Latvia</option>
<option value="Lebanon">Lebanon</option>
<option value="Lesotho">Lesotho</option>
<option value="Liberia">Liberia</option>
<option value="Libyan Arab Jamahiriya">Libyan Arab Jamahiriya</option>
<option value="Liechtenstein">Liechtenstein</option>
<option value="Lithuania">Lithuania</option>
<option value="Luxembourg">Luxembourg</option>
<option value="Macao">Macao</option>
<option value="Macedonia, the former Yugoslav Republic of">Macedonia, the former Yugoslav Republic of</option>
<option value="Madagascar">Madagascar</option>
<option value="Malawi">Malawi</option>
<option value="Malaysia">Malaysia</option>
<option value="Maldives">Maldives</option>
<option value="Mali">Mali</option>
<option value="Malta">Malta</option>
<option value="Martinique">Martinique</option>
<option value="Mauritania">Mauritania</option>
<option value="Mauritius">Mauritius</option>
<option value="Mayotte">Mayotte</option>
<option value="Mexico">Mexico</option>
<option value="Moldova, Republic of">Moldova, Republic of</option>
<option value="Monaco">Monaco</option>
<option value="Mongolia">Mongolia</option>
<option value="Montenegro">Montenegro</option>
<option value="Montserrat">Montserrat</option>
<option value="Morocco">Morocco</option>
<option value="Mozambique">Mozambique</option>
<option value="Myanmar">Myanmar</option>
<option value="Namibia">Namibia</option>
<option value="Nauru">Nauru</option>
<option value="Nepal">Nepal</option>
<option value="Netherlands">Netherlands</option>
<option value="New Caledonia">New Caledonia</option>
<option value="New Zealand">New Zealand</option>
<option value="Nicaragua">Nicaragua</option>
<option value="Niger">Niger</option>
<option value="Nigeria">Nigeria</option>
<option value="Niue">Niue</option>
<option value="Norfolk Island">Norfolk Island</option>
<option value="Norway">Norway</option>
<option value="Oman">Oman</option>
<option value="Pakistan">Pakistan</option>
<option value="Palestinian Territory, Occupied">Palestinian Territory, Occupied</option>
<option value="Panama">Panama</option>
<option value="Papua New Guinea">Papua New Guinea</option>
<option value="Paraguay">Paraguay</option>
<option value="Peru">Peru</option>
<option value="Philippines">Philippines</option>
<option value="Pitcairn">Pitcairn</option>
<option value="Poland">Poland</option>
<option value="Portugal">Portugal</option>
<option value="Qatar">Qatar</option>
<option value="Reunion">Reunion</option>
<option value="Romania">Romania</option>
<option value="Russian Federation">Russian Federation</option>
<option value="Rwanda">Rwanda</option>
<option value="Saint Barthelemy">Saint Barthelemy</option>
<option value="Saint Helena, Ascension and Tristan da Cunha">Saint Helena, Ascension and Tristan da Cunha</option>
<option value="Saint Kitts and Nevis">Saint Kitts and Nevis</option>
<option value="Saint Lucia">Saint Lucia</option>
<option value="Saint Martin (French part)">Saint Martin (French part)</option>
<option value="Saint Pierre and Miquelon">Saint Pierre and Miquelon</option>
<option value="Saint Vincent and the Grenadines">Saint Vincent and the Grenadines</option>
<option value="Samoa">Samoa</option>
<option value="San Marino">San Marino</option>
<option value="Sao Tome and Principe">Sao Tome and Principe</option>
<option value="Saudi Arabia">Saudi Arabia</option>
<option value="Senegal">Senegal</option>
<option value="Serbia">Serbia</option>
<option value="Seychelles">Seychelles</option>
<option value="Sierra Leone">Sierra Leone</option>
<option value="Singapore">Singapore</option>
<option value="Sint Maarten (Dutch part)">Sint Maarten (Dutch part)</option>
<option value="Slovakia">Slovakia</option>
<option value="Slovenia">Slovenia</option>
<option value="Solomon Islands">Solomon Islands</option>
<option value="Somalia">Somalia</option>
<option value="South Africa">South Africa</option>
<option value="South Georgia and the South Sandwich Islands">South Georgia and the South Sandwich Islands</option>
<option value="South Sudan">South Sudan</option>
<option value="Spain">Spain</option>
<option value="Sri Lanka">Sri Lanka</option>
<option value="Sudan">Sudan</option>
<option value="Suriname">Suriname</option>
<option value="Svalbard and Jan Mayen">Svalbard and Jan Mayen</option>
<option value="Swaziland">Swaziland</option>
<option value="Sweden">Sweden</option>
<option value="Switzerland">Switzerland</option>
<option value="Syrian Arab Republic">Syrian Arab Republic</option>
<option value="Tajikistan">Tajikistan</option>
<option value="Tanzania, United Republic of">Tanzania, United Republic of</option>
<option value="Thailand">Thailand</option>
<option value="Timor-Leste">Timor-Leste</option>
<option value="Togo">Togo</option>
<option value="Tokelau">Tokelau</option>
<option value="Tonga">Tonga</option>
<option value="Trinidad and Tobago">Trinidad and Tobago</option>
<option value="Tunisia">Tunisia</option>
<option value="Turkey">Turkey</option>
<option value="Turkmenistan">Turkmenistan</option>
<option value="Turks and Caicos Islands">Turks and Caicos Islands</option>
<option value="Tuvalu">Tuvalu</option>
<option value="Uganda">Uganda</option>
<option value="Ukraine">Ukraine</option>
<option value="United Arab Emirates">United Arab Emirates</option>
<option value="Uruguay">Uruguay</option>
<option value="Uzbekistan">Uzbekistan</option>
<option value="Vanuatu">Vanuatu</option>
<option value="Venezuela, Bolivarian Republic of">Venezuela, Bolivarian Republic of</option>
<option value="Viet Nam">Viet Nam</option>
<option value="Virgin Islands, British">Virgin Islands, British</option>
<option value="Wallis and Futuna">Wallis and Futuna</option>
<option value="Western Sahara">Western Sahara</option>
<option value="Yemen">Yemen</option>
<option value="Zambia">Zambia</option>
<option value="Zimbabwe">Zimbabwe</option>
</select></div>
</div>
<div class="form__field"> <textarea title="Comments" name="comment" class="desktop_txtarea form__field__input form__field__input--textarea dsk-hide" onkeydown="limitText(this.form.comment,this.form.countdown);"
onkeyup="limitText(this.form.comment,this.form.countdown);" onchange="limitText(this.form.comment,this.form.countdown);" placeholder="Please describe your enquiry so we can better address your request (25 character minimum)"
minlength="25">Comments</textarea><span class="countSpan"><input class="comments_counter" title="Text Count" name="countdown" type="text" readonly="readonly"></span></div>
<div class="form__field"><button class="form__field__input form__field__input--button cta trekk_articles" id="talk-to-us__submitCS" aria-label="Contact Sales" onclick="return false;" type="submit">Contact Sales</button></div>
</form>
<form data-inquiry-type="Speak with a Sales Rep" novalidate="novalidate" class="form form--validate blueState-form">
<input name="elqFormName" type="hidden" value="web50_masterForm">
<input name="elqSiteID" type="hidden" value="1756">
<input name="datalayerheader" type="hidden" value="Talk to us">
<input name="contact" type="hidden" value="on">
<input name="formgtm" class="bluestatearticleform" id="formGTM" type="hidden" value="Speak with a Sales Rep">
<input title="bot comments1" name="comments_87" class="botcomment" type="text" value="" tabindex="99998">
<input title="bot comments2" name="comments_88" class="botcomment" type="text" value="" tabindex="99999">
<input name="elqCustomerGUID" type="hidden" value="7585ec7e-e76b-41f6-b7f3-4b6a4069c9ef">
<input name="elqCookieWrite" type="hidden" value="0">
<input name="segment" type="hidden" value="wealth-management">
<div class="form-element input form-element--narrow">
<input title="first_name" class="form-element__element input__element form__field__input form__field__input--text form__field__input-group" id="name_first" name="name_first" type="text" placeholder="Adam" value="" autocomplete="given-name"
required="">
<label for="name_last" class="form-element__label">First name*</label>
</div>
<div class="form-element input form-element--narrow">
<input title="last_name" class="form-element__element input__element form__field__input form__field__input--text form__field__input-group" id="lastname" name="name_last" type="text" placeholder="Smith" value="" autocomplete="given-name"
required="">
<label for="lastname" class="form-element__label input__label ">Last name*</label>
</div>
<div class="form-element input ">
<input title="email" class="form-element__element input__element form__field__input form__field__input--text form__field__input-group" name="email_work" id="email" type="email" placeholder="example@email.com" value="" autocomplete="email"
required="" pattern="[a-zA-Z0-9.!#$%&'*+/=?^_`{|}~-]+@[a-zA-Z0-9-]+(?:\.[a-zA-Z0-9-]+)*">
<label for="email" class="form-element__label input__label">Work email address*</label>
</div>
<div class="form-element input form-element--narrow">
<input title="phone" class="form-element__element input__element form__field__input form__field__input--text form__field__input-group" name="phone_business" id="tel" type="tel" placeholder="XXX-XXX-XXXX" value="" autocomplete="tel-national"
required="">
<label for="tel" class="form-element__label input__label">Telephone*</label>
</div>
<div class="form-element select form-element--narrow">
<select title="country" class="form-element__element select__element form__field__input form__field__input--select" name="country" id="country" required="">
<option class="select__option" value="" disabled="" selected="">Country</option>
<option value="United States">United States</option>
<option value="Canada">Canada</option>
<option value="United Kingdom">United Kingdom</option>
<option class="select__option" value="Afghanistan">Afghanistan</option>
<option class="select__option" value="Aland Islands">Aland Islands</option>
<option class="select__option" value="Albania">Albania</option>
<option class="select__option" value="Algeria">Algeria</option>
<option class="select__option" value="Andorra">Andorra</option>
<option class="select__option" value="Angola">Angola</option>
<option class="select__option" value="Anguilla">Anguilla</option>
<option class="select__option" value="Antarctica">Antarctica</option>
<option class="select__option" value="Antigua and Barbuda">Antigua and Barbuda</option>
<option class="select__option" value="Argentina">Argentina</option>
<option class="select__option" value="Armenia">Armenia</option>
<option class="select__option" value="Aruba">Aruba</option>
<option class="select__option" value="Australia">Australia</option>
<option class="select__option" value="Austria">Austria</option>
<option class="select__option" value="Azerbaijan">Azerbaijan</option>
<option class="select__option" value="Bahamas">Bahamas</option>
<option class="select__option" value="Bahrain">Bahrain</option>
<option class="select__option" value="Bangladesh">Bangladesh</option>
<option class="select__option" value="Barbados">Barbados</option>
<option class="select__option" value="Belarus">Belarus</option>
<option class="select__option" value="Belgium">Belgium</option>
<option class="select__option" value="Belize">Belize</option>
<option class="select__option" value="Benin">Benin</option>
<option class="select__option" value="Bermuda">Bermuda</option>
<option class="select__option" value="Bhutan">Bhutan</option>
<option class="select__option" value="Bolivia, Plurinational State of">Bolivia, Plurinational State of</option>
<option class="select__option" value="Bonaire, Sint Eustatius and Saba">Bonaire, Sint Eustatius and Saba</option>
<option class="select__option" value="Bosnia and Herzegovina">Bosnia and Herzegovina</option>
<option class="select__option" value="Botswana">Botswana</option>
<option class="select__option" value="Bouvet Island">Bouvet Island</option>
<option class="select__option" value="Brazil">Brazil</option>
<option class="select__option" value="British Indian Ocean Territory">British Indian Ocean Territory</option>
<option class="select__option" value="Brunei Darussalam">Brunei Darussalam</option>
<option class="select__option" value="Bulgaria">Bulgaria</option>
<option class="select__option" value="Burkina Faso">Burkina Faso</option>
<option class="select__option" value="Burundi">Burundi</option>
<option class="select__option" value="Cambodia">Cambodia</option>
<option class="select__option" value="Cameroon">Cameroon</option>
<option class="select__option" value="Cape Verde">Cape Verde</option>
<option class="select__option" value="Cayman Islands">Cayman Islands</option>
<option class="select__option" value="Central African Republic">Central African Republic</option>
<option class="select__option" value="Chad">Chad</option>
<option class="select__option" value="Chile">Chile</option>
<option class="select__option" value="China">China</option>
<option class="select__option" value="Chinese Taipei">Chinese Taipei</option>
<option class="select__option" value="Christmas Island">Christmas Island</option>
<option class="select__option" value="Cocos (Keeling) Islands">Cocos (Keeling) Islands</option>
<option class="select__option" value="Colombia">Colombia</option>
<option class="select__option" value="Comoros">Comoros</option>
<option class="select__option" value="Congo">Congo</option>
<option class="select__option" value="Congo, the Democratic Republic of the">Congo, the Democratic Republic of the</option>
<option class="select__option" value="Cook Islands">Cook Islands</option>
<option class="select__option" value="Costa Rica">Costa Rica</option>
<option class="select__option" value="Cote d'Ivoire">Cote d'Ivoire</option>
<option class="select__option" value="Croatia">Croatia</option>
<option class="select__option" value="Cuba">Cuba</option>
<option class="select__option" value="Curacao">Curacao</option>
<option class="select__option" value="Cyprus">Cyprus</option>
<option class="select__option" value="Czech Republic">Czech Republic</option>
<option class="select__option" value="Denmark">Denmark</option>
<option class="select__option" value="Djibouti">Djibouti</option>
<option class="select__option" value="Dominica">Dominica</option>
<option class="select__option" value="Dominican Republic">Dominican Republic</option>
<option class="select__option" value="Ecuador">Ecuador</option>
<option class="select__option" value="Egypt">Egypt</option>
<option class="select__option" value="El Salvador">El Salvador</option>
<option class="select__option" value="Equatorial Guinea">Equatorial Guinea</option>
<option class="select__option" value="Eritrea">Eritrea</option>
<option class="select__option" value="Estonia">Estonia</option>
<option class="select__option" value="Ethiopia">Ethiopia</option>
<option class="select__option" value="Falkland Islands (Malvinas)">Falkland Islands (Malvinas)</option>
<option class="select__option" value="Faroe Islands">Faroe Islands</option>
<option class="select__option" value="Fiji">Fiji</option>
<option class="select__option" value="Finland">Finland</option>
<option class="select__option" value="France">France</option>
<option class="select__option" value="French Guiana">French Guiana</option>
<option class="select__option" value="French Polynesia">French Polynesia</option>
<option class="select__option" value="French Southern Territories">French Southern Territories</option>
<option class="select__option" value="Gabon">Gabon</option>
<option class="select__option" value="Gambia">Gambia</option>
<option class="select__option" value="Georgia">Georgia</option>
<option class="select__option" value="Germany">Germany</option>
<option class="select__option" value="Ghana">Ghana</option>
<option class="select__option" value="Gibraltar">Gibraltar</option>
<option class="select__option" value="Greece">Greece</option>
<option class="select__option" value="Greenland">Greenland</option>
<option class="select__option" value="Grenada">Grenada</option>
<option class="select__option" value="Guadeloupe">Guadeloupe</option>
<option class="select__option" value="Guatemala">Guatemala</option>
<option class="select__option" value="Guernsey">Guernsey</option>
<option class="select__option" value="Guinea">Guinea</option>
<option class="select__option" value="Guinea-Bissau">Guinea-Bissau</option>
<option class="select__option" value="Guyana">Guyana</option>
<option class="select__option" value="Haiti">Haiti</option>
<option class="select__option" value="Heard Island and McDonald Islands">Heard Island and McDonald Islands</option>
<option class="select__option" value="Holy See (Vatican City State)">Holy See (Vatican City State)</option>
<option class="select__option" value="Honduras">Honduras</option>
<option class="select__option" value="Hong Kong">Hong Kong S.A.R</option>
<option class="select__option" value="Hungary">Hungary</option>
<option class="select__option" value="Iceland">Iceland</option>
<option class="select__option" value="India">India</option>
<option class="select__option" value="Indonesia">Indonesia</option>
<option class="select__option" value="Iran, Islamic Republic of">Iran, Islamic Republic of</option>
<option class="select__option" value="Iraq">Iraq</option>
<option class="select__option" value="Ireland">Ireland</option>
<option class="select__option" value="Isle of Man">Isle of Man</option>
<option class="select__option" value="Israel">Israel</option>
<option class="select__option" value="Italy">Italy</option>
<option class="select__option" value="Jamaica">Jamaica</option>
<option class="select__option" value="Japan">Japan</option>
<option class="select__option" value="Jersey">Jersey</option>
<option class="select__option" value="Jordan">Jordan</option>
<option class="select__option" value="Kazakhstan">Kazakhstan</option>
<option class="select__option" value="Kenya">Kenya</option>
<option class="select__option" value="Kiribati">Kiribati</option>
<option class="select__option" value="Korea, Democratic People's Republic of">Korea, Democratic People's Republic of</option>
<option class="select__option" value="Korea, Republic of">Korea, Republic of</option>
<option class="select__option" value="Kuwait">Kuwait</option>
<option class="select__option" value="Kyrgyzstan">Kyrgyzstan</option>
<option class="select__option" value="Lao People's Democratic Republic">Lao People's Democratic Republic</option>
<option class="select__option" value="Latvia">Latvia</option>
<option class="select__option" value="Lebanon">Lebanon</option>
<option class="select__option" value="Lesotho">Lesotho</option>
<option class="select__option" value="Liberia">Liberia</option>
<option class="select__option" value="Libyan Arab Jamahiriya">Libyan Arab Jamahiriya</option>
<option class="select__option" value="Liechtenstein">Liechtenstein</option>
<option class="select__option" value="Lithuania">Lithuania</option>
<option class="select__option" value="Luxembourg">Luxembourg</option>
<option class="select__option" value="Macao">Macao</option>
<option class="select__option" value="Macedonia, the former Yugoslav Republic of">Macedonia, the former Yugoslav Republic of</option>
<option class="select__option" value="Madagascar">Madagascar</option>
<option class="select__option" value="Malawi">Malawi</option>
<option class="select__option" value="Malaysia">Malaysia</option>
<option class="select__option" value="Maldives">Maldives</option>
<option class="select__option" value="Mali">Mali</option>
<option class="select__option" value="Malta">Malta</option>
<option class="select__option" value="Martinique">Martinique</option>
<option class="select__option" value="Mauritania">Mauritania</option>
<option class="select__option" value="Mauritius">Mauritius</option>
<option class="select__option" value="Mayotte">Mayotte</option>
<option class="select__option" value="Mexico">Mexico</option>
<option class="select__option" value="Moldova, Republic of">Moldova, Republic of</option>
<option class="select__option" value="Monaco">Monaco</option>
<option class="select__option" value="Mongolia">Mongolia</option>
<option class="select__option" value="Montenegro">Montenegro</option>
<option class="select__option" value="Montserrat">Montserrat</option>
<option class="select__option" value="Morocco">Morocco</option>
<option class="select__option" value="Mozambique">Mozambique</option>
<option class="select__option" value="Myanmar">Myanmar</option>
<option class="select__option" value="Namibia">Namibia</option>
<option class="select__option" value="Nauru">Nauru</option>
<option class="select__option" value="Nepal">Nepal</option>
<option class="select__option" value="Netherlands">Netherlands</option>
<option class="select__option" value="New Caledonia">New Caledonia</option>
<option class="select__option" value="New Zealand">New Zealand</option>
<option class="select__option" value="Nicaragua">Nicaragua</option>
<option class="select__option" value="Niger">Niger</option>
<option class="select__option" value="Nigeria">Nigeria</option>
<option class="select__option" value="Niue">Niue</option>
<option class="select__option" value="Norfolk Island">Norfolk Island</option>
<option class="select__option" value="Norway">Norway</option>
<option class="select__option" value="Oman">Oman</option>
<option class="select__option" value="Pakistan">Pakistan</option>
<option class="select__option" value="Palestinian Territory, Occupied">Palestinian Territory, Occupied</option>
<option class="select__option" value="Panama">Panama</option>
<option class="select__option" value="Papua New Guinea">Papua New Guinea</option>
<option class="select__option" value="Paraguay">Paraguay</option>
<option class="select__option" value="Peru">Peru</option>
<option class="select__option" value="Philippines">Philippines</option>
<option class="select__option" value="Pitcairn">Pitcairn</option>
<option class="select__option" value="Poland">Poland</option>
<option class="select__option" value="Portugal">Portugal</option>
<option class="select__option" value="Qatar">Qatar</option>
<option class="select__option" value="Reunion">Reunion</option>
<option class="select__option" value="Romania">Romania</option>
<option class="select__option" value="Russian Federation">Russian Federation</option>
<option class="select__option" value="Rwanda">Rwanda</option>
<option class="select__option" value="Saint Barthelemy">Saint Barthelemy</option>
<option class="select__option" value="Saint Helena, Ascension and Tristan da Cunha">Saint Helena, Ascension and Tristan da Cunha</option>
<option class="select__option" value="Saint Kitts and Nevis">Saint Kitts and Nevis</option>
<option class="select__option" value="Saint Lucia">Saint Lucia</option>
<option class="select__option" value="Saint Martin (French part)">Saint Martin (French part)</option>
<option class="select__option" value="Saint Pierre and Miquelon">Saint Pierre and Miquelon</option>
<option class="select__option" value="Saint Vincent and the Grenadines">Saint Vincent and the Grenadines</option>
<option class="select__option" value="Samoa">Samoa</option>
<option class="select__option" value="San Marino">San Marino</option>
<option class="select__option" value="Sao Tome and Principe">Sao Tome and Principe</option>
<option class="select__option" value="Saudi Arabia">Saudi Arabia</option>
<option class="select__option" value="" disabled="" selected="">Select Country</option>
<option class="select__option" value="Senegal">Senegal</option>
<option class="select__option" value="Serbia">Serbia</option>
<option class="select__option" value="Seychelles">Seychelles</option>
<option class="select__option" value="Sierra Leone">Sierra Leone</option>
<option class="select__option" value="Singapore">Singapore</option>
<option class="select__option" value="Sint Maarten (Dutch part)">Sint Maarten (Dutch part)</option>
<option class="select__option" value="Slovakia">Slovakia</option>
<option class="select__option" value="Slovenia">Slovenia</option>
<option class="select__option" value="Solomon Islands">Solomon Islands</option>
<option class="select__option" value="Somalia">Somalia</option>
<option class="select__option" value="South Africa">South Africa</option>
<option class="select__option" value="South Georgia and the South Sandwich Islands">South Georgia and the South Sandwich Islands</option>
<option class="select__option" value="South Sudan">South Sudan</option>
<option class="select__option" value="Spain">Spain</option>
<option class="select__option" value="Sri Lanka">Sri Lanka</option>
<option class="select__option" value="Sudan">Sudan</option>
<option class="select__option" value="Suriname">Suriname</option>
<option class="select__option" value="Svalbard and Jan Mayen">Svalbard and Jan Mayen</option>
<option class="select__option" value="Swaziland">Swaziland</option>
<option class="select__option" value="Sweden">Sweden</option>
<option class="select__option" value="Switzerland">Switzerland</option>
<option class="select__option" value="Syrian Arab Republic">Syrian Arab Republic</option>
<option class="select__option" value="Tajikistan">Tajikistan</option>
<option class="select__option" value="Tanzania, United Republic of">Tanzania, United Republic of</option>
<option class="select__option" value="Thailand">Thailand</option>
<option class="select__option" value="Timor-Leste">Timor-Leste</option>
<option class="select__option" value="Togo">Togo</option>
<option class="select__option" value="Tokelau">Tokelau</option>
<option class="select__option" value="Tonga">Tonga</option>
<option class="select__option" value="Trinidad and Tobago">Trinidad and Tobago</option>
<option class="select__option" value="Tunisia">Tunisia</option>
<option class="select__option" value="Turkey">Turkey</option>
<option class="select__option" value="Turkmenistan">Turkmenistan</option>
<option class="select__option" value="Turks and Caicos Islands">Turks and Caicos Islands</option>
<option class="select__option" value="Tuvalu">Tuvalu</option>
<option class="select__option" value="Uganda">Uganda</option>
<option class="select__option" value="Ukraine">Ukraine</option>
<option class="select__option" value="United Arab Emirates">United Arab Emirates</option>
<option class="select__option" value="Uruguay">Uruguay</option>
<option class="select__option" value="Uzbekistan">Uzbekistan</option>
<option class="select__option" value="Vanuatu">Vanuatu</option>
<option class="select__option" value="Venezuela, Bolivarian Republic of">Venezuela, Bolivarian Republic of</option>
<option class="select__option" value="Viet Nam">Viet Nam</option>
<option class="select__option" value="Virgin Islands, British">Virgin Islands, British</option>
<option class="select__option" value="Wallis and Futuna">Wallis and Futuna</option>
<option class="select__option" value="Western Sahara">Western Sahara</option>
<option class="select__option" value="Yemen">Yemen</option>
<option class="select__option" value="Zambia">Zambia</option>
<option class="select__option" value="Zimbabwe">Zimbabwe</option>
</select>
<label for="country" class="form-element__label select__label">Country*</label>
</div>
<div class="form-element input">
<input title="company field" class="form-element__element input__element form__field__input form__field__input--not-empty form__field__input--text" name="Company" id="company" type="text" placeholder="Company Name" value=""
autocomplete="given-name" required="">
<label title="company" for="Company Name" class="form-element__label input__label">Company name*</label>
</div>
<div class="form-element input">
<input title="job_title" class="form-element__element input__element form__field__input form__field__input--not-empty form__field__input--text" name="job_title" id="title" type="text" placeholder="Job Title" value="" autocomplete="given-name"
required="">
<label for="jobtitle" class="form-element__label input__label">Job title*</label>
</div>
<div class="form-element textarea ">
<label for="message" class="form-element__label textarea__label">What would you like a Broadridge sales representative to contact you about?</label>
<textarea title="comments" class="form-element__element textarea__element form__field__input form__field__input--textarea" name="comment" id="message" placeholder="" required=""></textarea>
</div>
<button class="form__field__input form__field__input--button cta cta--secondary form__submit trekk_articles" id="sales-rep__submit_bs" aria-label="Contact Sales" onclick="return false;" type="submit">Contact Sales</button>
</form>
Text Content
Frankfurt am Main DE 50.1049 8.6295 HE 60326 WANT TO SEE OUR SERVICES IN THE US? Remember your selection and close this message. Visit our U.S. website Stay on the EMEA/APAC site Broadridge talk to us Menu Icon Mobile BR (NYSE) 139.14 2.73 Solutions & Products Insights About Us Client Support talk to us ICON. Search Close * Financial Services Expert solutions for financial services for over five decades * Asset Management Alternative Managers * Enhance and simplify portfolio management * Manage risk and optimise operational efficiency Fund Administrators and Prime Brokers * Support operational control and scalability * Adapt to growing investment complexity and regulatory burden Global Investment Managers * Enhance and simplify portfolio management * Manage risk and optimise operational efficiency * Drive profitability with automated revenue and expense management Global Funds * Enhance and simplify portfolio management * Drive profitability with automated revenue and expense management * Access unique distribution insights * Drive a successful proxy outcome * Simplify financial and regulatory reporting CLO Managers * Manage risk and optimize operational efficiency * Enhance and simplify portfolio management Private Debt * Enhance and simplify portfolio management * Manage risk and optimise operational efficiency Private Equity * Optimise operational efficiency and manage the entire fund lifecycle * Capital Markets and Banking * Transform your trade life cycle * Enhance accuracy and visibility across the entire data life cycle * Trading and connectivity solutions * Optimise your operating model with business process outsourcing * Empower your transformation with confidence * Streamline trade support, governance and compliance services * Modernise your banking and payments infrastructure * Wealth Management Wealth Management Firms * Advance control, risk and support services * Transform your trade life cycle * Optimise your operating model with business process outsourcing * Empower your transformation with confidence * Take your customers to the next level Retirement Services Providers * Optimise trade processing * Take your customers to the next level * Corporations Streamline shareholder communications and management * Corporate Treasury * Increase efficiencies in managing cash and risk Corporate Issuer * Build your brand and engage shareholders * Gain insights and uncover opportunities * Simplify the annual meeting process * Gain insights with predictive meeting analytics * All Products Transform your business with communications, technology, data and analytics solutions Navigation Filter Icon Created with Sketch. * Agency Trading * Anti-Money Laundering Solution (AMLS) * * ASSET SERVICING * For Capital Markets * For Wealth Management Firms * * BANK DEBT AND LOAN TRADING * For Alternative Managers * For CLO Managers * For Fund Administrators and Prime Brokers * Banking Book Collateral Management * * BILLING AND EXPENSE MANAGEMENT * For Capital Markets * For Wealth Management Firms * Branded Shareholder Portal * Broadridge Payments-as-a-Service * * BUSINESS PROCESS OUTSOURCING * For Alternative Managers * For Global Investment Managers * * BUSINESS PROCESS OUTSOURCING * For CLO Managers * For Fund Administrators and Prime Brokers * For Private Debt * * CASH MANAGEMENT * For Capital Markets * For Wealth Management Firms * * COLLATERAL MANAGEMENT * For Capital Markets * For Global Investment Managers * For Private Debt * Compliance and Regulatory Accounting Business Process Outsourcing * * CONNECTIVITY * For Capital Markets * For Capital Markets * For Wealth Management Firms * Corporate Trade Confirmation Service * * CREDIT AND MARKET RISK * For Alternative Managers * For CLO Managers * For Fund Administrators and Prime Brokers * For Global Funds * For Global Investment Managers * Custody Expense Management * Data Control Business Process Outsourcing * Data Control Business Process Outsourcing for Alternative Managers * Data Control Intelligent Automation * Data Control Managed Services * Data Control Messaging and Connectivity * Data Control Reconciliations * * DATA MANAGEMENT, ANALYTICS AND REPORTING * For Alternative Managers * For CLO Managers * For Global Funds * For Global Investment Managers * For Private Debt * Data Management, Warehouse and Reporting * Derivatives Trade Processing * Digital Solutions * Distribution 360 * DLT Repo * End-to-end Lombard Lending * Equity Trade Processing * European Fund Market Intelligence * Expense Management and Fee Validation * Factsheet Production and Distribution * Fee Billing * Financial Report Preparation and Filing * Financial Reporting * FIX Technology and Client Connectivity Services * Fixed Income Trade Processing * * FOREIGN EXCHANGE TRADE PROCESSING * For Capital Markets * For Wealth Management Firms * Fully Paid Lending * Fund Budgeting and Accruals * Fund Data Distribution with Galaxia Data API * Global Fund Data and Document Dissemination * Global Market Intelligence * Global Post Trade Management * * GLOBAL SECURITIES CLASS ACTION SERVICES * For Global Funds * For Global Investment Managers * For Wealth Management Firms * * GLOBAL SWIFT SERVICES * For Alternative Managers * For Capital Markets * For Corporate Treasury * For Fund Administrators and Prime Brokers * For Global Investment Managers * Institutional Market Intelligence * Interactive Online Document Management * Intermediary Fee Management * * INTRADAY RISK MONITORING * For Alternative Managers * For Global Investment Managers * Key Information Documents * Lombard lending in the Cloud * Market Analytics * Middle Office Technology * MiFID II Costs and Charges * North American Post-Trade Business Process Outsourcing * * OPERATIONAL RISK MANAGEMENT * For Capital Markets * For Wealth Management Firms * Order Routing Network * * PERFORMANCE AND ATTRIBUTION * For Alternative Managers * For CLO Managers * For Global Investment Managers * * PORTFOLIO AND ORDER MANAGEMENT * For Alternative Managers * For Fund Administrators and Prime Brokers * For Global Funds * For Global Investment Managers * Portfolio Management for CLO’s * Portfolio Management for Private Debt * * PORTFOLIO SECURITIES VOTING * For Alternative Managers * For Fund Administrators and Prime Brokers * For Global Funds * For Global Investment Managers * * POST TRADE AND REGULATORY COMPLIANCE * For Alternative Managers * For Global Investment Managers * Post Trade Matching * Post-trade FastStart * Post-Trade Processing Business Process Outsourcing for EMEA and APAC * Predictive Meeting Analytics * * PRICING AND VALUATION * For Alternative Managers * For Fund Administrators and Prime Brokers * For Global Investment Managers * PRIIPs KID and EPT Production, Reporting and Distribution * Principal Risk Trading and Market Making * Private Market Hub * * PROFESSIONAL SERVICES * For Capital Markets * For Wealth Management Firms * Proxy Management * Proxy Services * * RECONCILIATION * For CLO Managers * For Corporate Treasury * For Fund Administrators and Prime Brokers * For Global Funds * For Global Investment Managers * For Private Debt * For Retirement Services Providers * For Wealth Management Firms * * RECONCILIATION BUSINESS PROCESS OUTSOURCING * For Capital Markets * For Wealth Management Firms * * REFERENCE DATA BUSINESS PROCESS OUTSOURCING * For Capital Markets * For Wealth Management Firms * * REFERENCE DATA MANAGEMENT * For Alternative Managers * For Capital Markets * For CLO Managers * For Fund Administrators and Prime Brokers * For Global Funds * For Global Investment Managers * For Private Debt * For Wealth Management Firms * Regulatory & Investor Communications * Regulatory Trade and Transaction Reporting * Revenue and Expense Management * * REVENUE MANAGEMENT AND FEE BILLING * For Global Funds * For Global Investment Managers * Risk and Transparency Reporting * Sales and Asset Reporting * * SECURITIES FINANCE * For Capital Markets * For Global Investment Managers * Securities Processing * Shareholder Data Services * Solvency II Reporting * Trading Platforms * Translation and Language Services * UCITS KIIDs and EMT Production and Distribution * Virtual Shareholder Meeting * * VISUAL ANALYTICS * For Alternative Managers * For Fund Administrators and Prime Brokers * For Global Investment Managers * Consulting Services Providing you with actionable insight and proven execution * Practice Areas * * Data Transformation * * Operations Innovation and Execution * * Technology Acceleration * * Post-Trade Finance Modernization * * Regulatory Readiness * * Project Augmentation * * Communications and Customer Experience Consulting * ICON. Search Search Financial Services Expert solutions for financial services for over five decades * Asset Management Alternative Managers * Enhance and simplify portfolio management * Manage risk and optimise operational efficiency Fund Administrators and Prime Brokers * Support operational control and scalability * Adapt to growing investment complexity and regulatory burden Global Investment Managers * Enhance and simplify portfolio management * Manage risk and optimise operational efficiency * Drive profitability with automated revenue and expense management Global Funds * Enhance and simplify portfolio management * Drive profitability with automated revenue and expense management * Access unique distribution insights * Drive a successful proxy outcome * Simplify financial and regulatory reporting CLO Managers * Manage risk and optimize operational efficiency * Enhance and simplify portfolio management Private Debt * Enhance and simplify portfolio management * Manage risk and optimise operational efficiency Private Equity * Optimise operational efficiency and manage the entire fund lifecycle * Capital Markets and Banking * Transform your trade life cycle * Enhance accuracy and visibility across the entire data life cycle * Trading and connectivity solutions * Optimise your operating model with business process outsourcing * Empower your transformation with confidence * Streamline trade support, governance and compliance services * Modernise your banking and payments infrastructure * Wealth Management Wealth Management Firms * Advance control, risk and support services * Transform your trade life cycle * Optimise your operating model with business process outsourcing * Empower your transformation with confidence Retirement Services Providers * Optimise trade processing Expert solutions for financial services for over five decades * Asset Management Alternative Managers * Enhance and simplify portfolio management * Manage risk and optimise operational efficiency Fund Administrators and Prime Brokers * Support operational control and scalability * Adapt to growing investment complexity and regulatory burden Global Investment Managers * Enhance and simplify portfolio management * Manage risk and optimise operational efficiency * Drive profitability with automated revenue and expense management Global Funds * Enhance and simplify portfolio management * Drive profitability with automated revenue and expense management * Access unique distribution insights * Drive a successful proxy outcome * Simplify financial and regulatory reporting CLO Managers * Manage risk and optimize operational efficiency * Enhance and simplify portfolio management Private Debt * Enhance and simplify portfolio management * Manage risk and optimise operational efficiency Private Equity * Optimise operational efficiency and manage the entire fund lifecycle * Capital Markets and Banking * Transform your trade life cycle * Enhance accuracy and visibility across the entire data life cycle * Trading and connectivity solutions * Optimise your operating model with business process outsourcing * Empower your transformation with confidence * Streamline trade support, governance and compliance services * Modernise your banking and payments infrastructure * Wealth Management Wealth Management Firms * Advance control, risk and support services * Transform your trade life cycle * Optimise your operating model with business process outsourcing * Empower your transformation with confidence Retirement Services Providers * Optimise trade processing * Solutions & Products * Insights * About Us * Client Support * Search * BR (NYSE) 139.14 2.73 * Financial Services Expert solutions for financial services for over five decades * Asset Management Alternative Managers * Enhance and simplify portfolio management * Manage risk and optimise operational efficiency Fund Administrators and Prime Brokers * Support operational control and scalability * Adapt to growing investment complexity and regulatory burden Global Investment Managers * Enhance and simplify portfolio management * Manage risk and optimise operational efficiency * Drive profitability with automated revenue and expense management Global Funds * Enhance and simplify portfolio management * Drive profitability with automated revenue and expense management * Access unique distribution insights * Drive a successful proxy outcome * Simplify financial and regulatory reporting CLO Managers * Manage risk and optimize operational efficiency * Enhance and simplify portfolio management Private Debt * Enhance and simplify portfolio management * Manage risk and optimise operational efficiency Private Equity * Optimise operational efficiency and manage the entire fund lifecycle * Capital Markets and Banking * Transform your trade life cycle * Enhance accuracy and visibility across the entire data life cycle * Trading and connectivity solutions * Optimise your operating model with business process outsourcing * Empower your transformation with confidence * Streamline trade support, governance and compliance services * Modernise your banking and payments infrastructure * Wealth Management Wealth Management Firms * Advance control, risk and support services * Transform your trade life cycle * Optimise your operating model with business process outsourcing * Empower your transformation with confidence Retirement Services Providers * Optimise trade processing * Corporations Streamline shareholder communications and management * Corporate Treasury * Increase efficiencies in managing cash and risk * Corporate Issuer * Build your brand and engage shareholders * Gain insights and uncover opportunities * Simplify the annual meeting process * Gain insights with predictive meeting analytics * All Products Transform your business with communications, technology, data and analytics solutions Navigation Filter Icon Created with Sketch. * Agency Trading * Anti-Money Laundering Solution (AMLS) * * ASSET SERVICING * For Capital Markets * For Wealth Management Firms * * BANK DEBT AND LOAN TRADING * For Alternative Managers * For CLO Managers * For Fund Administrators and Prime Brokers * Banking Book Collateral Management * * BILLING AND EXPENSE MANAGEMENT * For Capital Markets * For Wealth Management Firms * Branded Shareholder Portal * Broadridge Payments-as-a-Service * * BUSINESS PROCESS OUTSOURCING * For Alternative Managers * For Global Investment Managers * * BUSINESS PROCESS OUTSOURCING * For CLO Managers * For Fund Administrators and Prime Brokers * For Private Debt * * CASH MANAGEMENT * For Capital Markets * For Wealth Management Firms * * COLLATERAL MANAGEMENT * For Capital Markets * For Global Investment Managers * For Private Debt * Compliance and Regulatory Accounting Business Process Outsourcing * * CONNECTIVITY * For Capital Markets * For Capital Markets * For Wealth Management Firms * Corporate Trade Confirmation Service * * CREDIT AND MARKET RISK * For Alternative Managers * For CLO 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EXPLORE ALL INSIGHTS Explore our insights by topic: ASIA PACIFIC ASSET MANAGEMENT CAPITAL MARKETS and BANKING CONSULTING SERVICES EMEA ESG FUND DISTRIBUTION GOVERNANCE ABOUT BROADRIDGE ABOUT US BOARD OF DIRECTORS CAREERS EXECUTIVE LEADERSHIP INVESTOR RELATIONS PRESS RELATIONS SUSTAINABILITY Global websites: Canada EMEA / APAC Germany Japan United States HOW CAN WE HELP? Speak Sales Icon Broadridge Learn about our partner program Speak Sales Icon Broadridge Speak with a sales representative Client Support Icon Broadridge Get client support Additional Broadridge resource: Careers Client Support Investor Relations Partner Programme Press Relations View our Contact Us page for additional information. Back Button Back TALK TO US One of our sales representatives will contact you about your submission. Welcome back, {firstName lastName}. Not {firstName}? Clear the form. 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Phone Icon +1 800 353 0103 North America Phone Icon +44 (0)20 7551 3000 EMEA Phone Icon +65 6438 1144 APAC THANK YOUFOR REACHING OUT TO US Your sales rep submission has been received. One of our sales representatives will contact you soon. Close * Home * Insights IDENTIFYING SECURITIES-BASED LENDING PROSPECTS AMONG EXISTING CLIENTS Advisors can gain a competitive edge by managing both the asset and liability sides of a client’s balance sheet. There was a time when advisors practically had to shake the trees to find prospects for new strategies. Today, a combination of generational change, pandemic disruptions, and expanded relationship-building due to digital technology has turned the tables: A Broadridge survey of 1,500 wealth management clients found that 60% wanted their advisors to share a lot more ideas with them. Investor hunger for new opportunities ranges from a passionate interest in Environmental, Social, Governance (ESG) strategies to all things crypto on the asset side of the balance sheet. On the liability side, the search for ready liquidity has spurred advisors to unlock their inner bankers to meet clients’ lending needs as well. One lending approach, in particular, has been gaining momentum: Securities-Based Lending (SBL) offers a way for advisors to provide a lower-cost, risk-managed source of credit to clients. With SBL, clients access funds from their highly appreciated, non-retirement investment portfolios without interrupting their underlying investment strategy or potentially triggering a tax event. SBLs also allow advisors to strengthen their relationship with clients by providing them with a fast, frictionless way to obtain the credit they need. According to Broadridge’s 2021 Securities-Based Lending Report, more than 80% of lending leaders polled reported a strong correlation between providing SBL products and AUM growth. The reason: An SBL offering attracts new AUM balances and makes them stickier—the more you know about your client’s balance sheet, the more ownership you have of it. Adding liquidity solutions to your wealth management array, in effect, puts a sign over your clients that tells the world, “Sorry, this client is taken.” Identifying SBL candidates. Start by identifying the credit needs, or potential needs, of your existing clients. Wealthy empty nesters: Securities-Based Lines of Credit (SBLOCs) have been a proven credit mainstay for ultra-high-net-worth investors and high-net-worth individuals looking to expand their horizons and embrace new experiences. Specifically, those interested in new real estate purchases, securing bridge loans, undertaking a home remodeling project, buying a luxury item, or taking an exotic trip. Ambitious entrepreneurs: Enterprising business clients with near-term plans for expansion and growth, whether it be adding capacity or marketing, could benefit from collateralizing a percentage of their highly appreciated securities to underwrite a flexible, low-cost SBLOC. Debt consolidators: High interest-bearing debt can add up. Faced with economic uncertainty, inflation-sensitive clients could combine their debts under one SBLOC at a lower rate, accessing their appreciated assets while keeping their investment objectives on track. Home buyers in a competitive market: In a hot property market, time and liquidity are of the essence. An SBLOC transforms your client into a cash buyer, putting them at the top of the queue for their dream home. They can put money down to ensure a quick purchase, while mortgage finance is arranged in the background. Meanwhile, you have helped your client’s dreams come true. Tomorrow’s millionaires: The emerging mass affluent cohort represents “the potential future of HNWIs,” according to Cap Gemini’s 2020 World Wealth Report. Often overlooked, the mass affluent can be one liquidity event, inheritance, stock award or other windfall away from joining the HNWI segment themselves. Demanding access to the same products and services enjoyed by wealthier cohorts, the mass affluent are especially receptive to discussing innovative ideas with financial professionals and, for some, SBLs could be a way to consolidate and pay down debts at lower cost while keeping their long-term investment goals on track. Emergency funders: Climate change-related disasters have been wreaking havoc over the past five years. Clients worried about flooding, wind damage, or other hazards, could use an SBLOC reserve fund to build up their rainy-day resources. Are SBLs right for everyone? Suitable SBL clients require enough wealth to access the liquidity in their portfolios while maintaining a long-term investment perspective. They should be able to cover margin calls in the event of a downturn. As an asset-backed loan, the value in client portfolios (noting that securities held in a retirement account cannot be used as collateral) is the most important factor in determining suitability. Some firms also assess ability to repay as part of the approval process. Finally, advisors should make a complete assessment of client circumstances before recommending any lending solution. SBLOC’s do, however, offer several safeguards. Clients can draw down less than the maximum amount available to create a buffer against a downturn. Additionally, digital monitoring provides alerts in advance of potential margin calls. Importantly, a client may be able to backstop their SBLOC by secondary credit sources like a Home Equity Line of Credit (HELOC). SHARE * Share on Twitter * Share on Facebook * Share on LinkedIn * Copy link to clipboard Link copied! RICHARD BRYCE, SHARE ON LINKEDIN SHARE ON TWITTER Managing Director, Rockall, A Broadridge Business CONTACT US ABOUT WHAT’S NEXT FOR YOU Contact Us LET’S TALK ABOUT WHAT’S NEXT FOR YOU Our representatives and specialists are ready with the solutions you need to advance your business. Want to speak with a sales representative? 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Contact Sales THANK YOU. Your sales rep submission has been received. One of our sales representatives will contact you soon. Want to speak with a sales representative? Table Heading+1 800 353 0103North America+442075513000EMEA+65 6438 1144APAC Broadridge, a global Fintech leader with $5 billion in revenues, provides the critical infrastructure that powers investing, corporate governance and communications to enable better financial lives. We deliver technology-driven solutions that drive digital transformation for our clients and help them get ahead of today’s challenges to capitalise on what’s next. 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