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and proxy voting via telephone, online, mobile, or paper.
−Removed: We have the ability to combine shareholder communications for multiple stockholders residing at the same address.
We also offer proxy vote solicitation services for the registered clients of fund companies, efficiently managing the entire proxy campaign.
In addition, we provide a complete outsourced solution for the processing of all international institutional and retail proxies, including shareholder disclosure management.
+Added: We are actively extending our market-leading proxy voting and disclosure capabilities to support all models of tokenized securities ownership.
+Added: We play an integral role in the beneficial proxy process.
A majority of publicly-traded shares are not registered in companies’ records in the names of their ultimate beneficial owners.
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The rules also determine the fees to be paid to third-party intermediaries, such as Broadridge, who compile the NOBO information on behalf of Nominees who need to respond to corporate issuer requests for NOBO information.
−Removed: We provide institutional investors with a suite of services to manage and track the entire proxy voting process, including meeting their reporting needs.
−Removed: ProxyEdge ® (“ProxyEdge”) is our innovative electronic proxy delivery and voting solution for institutional investors and financial advisors that integrates ballots for positions held across multiple custodians and presents them under a single proxy.
−Removed: Voting can be instructed for the entire position, by account vote group, or on an individual account basis either manually or automatically based on the recommendations of participating governance research providers.
−Removed: ProxyEdge also provides for client reporting and regulatory reporting.
−Removed: ProxyEdge can be utilized for meetings of U.S.
−Removed: and Canadian companies and for meetings in many non-North American countries based on the holdings of our global custodian clients.
−Removed: ProxyEdge is offered in several languages and there are currently over 7,000 ProxyEdge users worldwide.
+Added: We provide institutional investors with a suite of global solutions and services to manage and vote their holdings, including meeting their reporting needs.
+Added: ProxyEdge ® (“ProxyEdge”) is our institutional voting platform that allows institutional investors to view, manage and vote on their multi-custodial holdings, as well as generate reporting and access third party vote recommendations.
+Added: Our Custom Policy Engine uses artificial intelligence (“AI”) to allow institutional investors to create, manage, and execute their own custom voting policies.
+Added: Our Pass-Through Voting solution allows asset managers to vote their shares in underlying equities based on the policy or ballot preferences of their institutional and retail investors and our Proxy Disclosure solution allows institutional investors to create and file their required vote disclosures to fulfill their regulatory reporting obligations.
In addition to our proxy services, we provide regulatory communications solutions that enable global asset managers to communicate with large audiences of investors efficiently and reliably by centralizing all investor communications through one resource.
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We also provide support to fund managers with document and data dissemination in the UK and European markets, enabling the receipt by distributors and investors of information supporting fund sales.
−Removed: Our Pass-Through Voting solution supports fund clients in providing individual investors the ability to participate in the proxy voting process, helping them to expand their investor engagement efforts and receive valuable input for important investment decisions.
−Removed: Our solution for institutional investors helps asset managers split the vote in portfolio companies and pass the ability to vote directly to institutional investors on a proportional basis.
−Removed: For retail investors, our solutions allow funds to poll their investors on voting preferences and provide investors the ability to give voting instructions, set standard voting preferences, or cast a vote at pre-determined meetings.
In addition to our fund solutions, we also provide a range of other regulatory communications solutions, including reorganization communications notifying investors of U.S.
reorganizations or corporate action events, such as tender offers, mergers and acquisitions, bankruptcies, and global class action services for the identification, filing and recovery of class actions and collective redress proceedings involving securities and other financial products.
−Removed: We also provide international corporate governance solutions addressing our clients’ needs within Europe, the Middle East and Africa (“EMEA”) and the Asia-Pacific (“APAC”) region.
−Removed: These solutions include institutional and retail global proxy services, and shareholder disclosure management and analytics for both financial intermediaries and corporate issuers.
−Removed: Our international solutions help clients focus on their core businesses while helping them maintain global and local regulatory compliance, reduce costs, improve efficiency and gain data insights.
+Added: We also provide international corporate governance solutions that address our clients’ needs across Europe, the Middle East and Africa (“EMEA”) and the Asia-Pacific (“APAC”) region.
+Added: These solutions include institutional and retail global proxy services for financial intermediaries, as well as shareholder disclosure management, data and analytics for both financial intermediaries and corporate issuers.
+Added: Our international solutions help clients focus on their core businesses while helping them maintain compliance with applicable global and local regulatory requirements, reducing costs, improving efficiency and gaining valuable data-driven insights.
Data-Driven Fund Solutions
−Removed: We provide a full range of data-driven solutions that help our asset management and retirement service provider clients grow revenue, operate efficiently, and maintain compliance.
−Removed: Our data and analytics solutions provide investment product distribution data, predictive modeling, analytical tools, and insights and research to enable asset managers to optimize product distribution across retail and institutional channels globally.
+Added: We provide a full range of data-driven analytics that help our asset management, broker-dealer, and retirement service provider clients grow revenue, operate efficiently, and maintain compliance.
+Added: Our data and analytics solutions operate globally and provide data to power investment product distribution and predictive modeling, provide insights and research to enable asset managers to optimize product distribution across retail and institutional channels, and automate important tasks such as fund registration, commission payments and compliance monitoring.
We also provide fiduciary-focused learning and development, software and technology, and data and analytics services to advisors, institutions and asset managers across the retirement and wealth ecosystem.
−Removed: Through our Retirement and Workplace Solutions business (“Broadridge Retirement and Workplace”), we provide automated mutual fund and exchange-traded funds trade processing services for financial institutions that submit trades on behalf of their clients, including qualified and non-qualified retirement plans and individual wealth accounts.
+Added: We also provide automated mutual fund and exchange-traded funds trade processing services for financial institutions that submit trades on behalf of their clients, including qualified and non-qualified retirement plans and individual wealth accounts.
Our trust, trading and settlement services are integrated into our product suite, strengthening our role as a provider of insight, technology, and business process outsourcing to the asset management, wealth, and retirement industry.
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Corporate Issuer Solutions
−Removed: We provide a range of corporate issuer solutions that revolve around shareholder meetings and proxy, corporate governance and sustainability, regulatory filings and disclosure, and stock transfer services.
+Added: We provide a range of corporate issuer solutions that revolve around shareholder meetings and proxy, corporate governance, regulatory filings and disclosure, and stock transfer services.
Our services provide corporate issuers a single source solution that spans the entire shareholder communications and corporate disclosure lifecycle.
−Removed: Our shareholder meetings and proxy services and our corporate governance and sustainability services include a full suite of annual meeting and shareholder engagement solutions:
−Removed: • Proxy services – we provide complete project management for the entire annual meeting process including registered and beneficial proxy materials distribution, vote processing, and tabulation through our ShareLink ® solution.
+Added: Our shareholder meetings and proxy services and our corporate governance services include a full suite of annual meeting and shareholder engagement solutions:
+Added: • Proxy services – we provide complete project management for the entire annual meeting process including proxy materials distribution, vote processing, and tabulation for registered and beneficial holdings, including tokenized equities, through our ShareLink ® solution.
+Added: In addition, we provide a Standing Voting Instructions service which enables our clients to offer their retail shareholders the ability to pre-set and automate their voting preferences for future eligible shareholder meetings.
• Virtual Shareholder Meeting™ – electronic annual meetings via webcast, either on a stand-alone basis, or in conjunction with in-person annual meetings, including shareholder validation and voting services and the ability for shareholders to ask questions and for management to respond during the meetings.
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These services provide aggregated shareholder data and analytics, shareholder delivery preferences, and voting trends.
−Removed: • Sustainability services - we provide consulting in support of issuers and their sustainability initiatives.
−Removed: The services include peer governance and sustainability disclosure benchmarking, sustainability strategy and policy development, greenhouse gas emission assessments, and sustainability data management and reporting.
−Removed: We also offer a Governance and Sustainability dashboard that provides consensus ratings to allow corporate issuers to assess the progress of their Governance and Sustainability ratings and disclosure relative to their selection of peer companies.
Our regulatory filings and disclosure solutions provide compliance reporting and transactional reporting services for public companies, including the following:
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We also provide registrar, stock transfer, and record-keeping services through our transfer agency services.
−Removed: Our transfer agency services address the needs public companies have for more efficient and reliable stockholder record maintenance and communication services.
+Added: Our transfer agency services address public companies’ need for more efficient and reliable stockholder record maintenance and communication services.
In addition, we provide corporate actions services, including acting as the exchange agent, paying agent, or tender agent in support of acquisitions, initial public offerings, and other significant corporate transactions.
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Customer Communications Solutions
−Removed: We support financial services, healthcare, insurance, consumer finance, telecommunications, utilities, and other service industries with omni-channel customer communications management strategies for their transactional communications, including statements and bills, marketing communications, such as personalized microsites and campaigns, and regulatory communications, such as trade confirmations and explanations of benefits.
−Removed: These services include digital and physical delivery of critical communications.
−Removed: Our physical delivery services operate through a network of seven highly automated facilities across North America.
−Removed: The Broadridge Communications Cloud SM is an omni-channel platform (the “Communications Cloud”) that provides our clients the flexibility to implement only the modules and delivery channels needed to address their specific communication needs.
−Removed: The platform’s open application programming interfaces and self-servicing tools help our clients improve their communications systems’ efficiency and productivity.
+Added: We support clients across financial services, healthcare, insurance, consumer finance, telecommunications, utilities, and other service industries with omni-channel customer communications management solutions.
+Added: Our capabilities span transactional communications, such as statements and bills, marketing communications, including personalized campaigns and microsites, and regulatory communications, such as trade confirmations and explanations of benefits.
+Added: Our services support both digital and physical delivery of critical customer communications.
+Added: Our physical delivery services operate through a network of six highly automated production facilities across North America.
+Added: The Broadridge Communications Cloud SM (the “Communications Cloud”) is a flexible omni-channel platform designed to help organizations deliver a more seamless, personalized, and engaging client experience.
+Added: The platform enables our clients to deploy the specific modules and delivery channels best suited to address their communication strategies while improving operational efficiency, streamlining communications management, and increasing customer engagement through open application programming interfaces and self-service tools.
Through the Communications Cloud, our clients can:
−Removed: • develop transactional, regulatory, and marketing communications with relevant, self-service content that drives customer action;
−Removed: • deliver customer communications across print, digital, email, short message service (“SMS”) and emerging channels, such as interactive microsites, with one connection;
−Removed: • gain comprehensive reporting and analytics to improve communications and increase engagement based on customer behaviors.
+Added: • create transactional, regulatory, and marketing communications with dynamic, self-service content designed to drive customer action;
+Added: • deliver communications seamlessly across print, digital, email, short message service (“SMS”) and emerging channels, including interactive microsites, through a single integration;
+Added: • gain comprehensive reporting and analytics to optimize communications and increase engagement based on customer behaviors and preferences.
+Added: In August 2025, we acquired Signal Agency Limited (“Signal”) to expand and globalize our digital customer communications capabilities, strengthen our presence in Europe, and further enhance our ability to help our clients modernize omni-channel customer and investor communications.
Global Technology and Operations
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Our Global Technology and Operations business provides mission-critical, scale infrastructure to the global financial markets.
−Removed: As a leading software as a service (“SaaS”) provider, we offer capital markets and wealth and investment management firms modern technology to enable growth, simplify their technology stacks, and mutualize costs.
+Added: We offer capital markets and wealth and investment management firms modern technology to enable growth, simplify their technology stacks, and mutualize costs across both traditional and tokenized assets.
Our highly scalable, resilient, component-based platform automates the front-to-back transaction lifecycle of equity, mutual fund, fixed income, foreign exchange and exchange-traded derivatives, from order capture and execution through trade confirmation, margin, cash management, clearing and settlement, reference data management, reconciliations, securities financing and collateral management, asset servicing, compliance and regulatory reporting, portfolio accounting and custody-related services.
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In addition, we provide business process outsourcing services for our buy- and sell-side clients’ businesses.
−Removed: These services combine our technology with our operations expertise to support the entire trade lifecycle, including securities clearing and settlement, reconciliations, record-keeping, wealth management asset servicing, and custody-related functions.
+Added: These services combine our technology, including agentic AI, with our operations expertise to support the entire trade lifecycle, including securities clearing and settlement, reconciliations, record-keeping, wealth management asset servicing, and custody-related functions.
The Global Technology and Operations segment’s revenues represented approximately 26% and 26% of our total Revenues in fiscal years 2026 and 2025, respectively, which gives effect to the foreign exchange impact from revenues generated in currencies other than the U.S.
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Capital Markets Solutions
−Removed: Our capital markets platform and solutions deliver simplification and innovation across the trade lifecycle, from order initiation to settlement.
−Removed: Largely provided on a SaaS basis within large user communities, our technology is a global solution, processing trades, clearance and settlement in over 90 markets.
−Removed: Our technology enables our clients to meet the requirements of market change such as the T+1 securities settlement cycle.
+Added: Our capital markets platform and solutions deliver simplification and innovation across the full trade lifecycle, from order initiation to settlement.
+Added: Our technology is a global solution, processing trades, clearance and settlement in more than 100 markets.
+Added: Our technology enables our clients to meet the requirements of market change such as the T+1 securities settlement cycle, emergence of 24-hour markets, and the tokenization of assets.
Our solutions enable global capital markets firms to access market liquidity, driving more effective market making and efficient front-to-back trade processing.
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Our solutions can be deployed as a complete solution as well as discrete components supporting financial institutions.
−Removed: Through Broadridge Trading and Connectivity Solutions , we offer a set of global front-office trade order and execution management systems and connectivity solutions that enable market participants to connect and trade.
+Added: Through our Broadridge Trading and Connectivity Solutions business , we provide technology-driven trading and connectivity solutions that enable global capital markets participants to connect and trade.
Our front-office solutions, post-trade product suite and other capital markets capabilities enable our clients to streamline their front-to-back technology platforms and operations and increase straight-through-processing efficiencies, across equities, fixed income, exchange-traded derivatives, and other asset classes.
−Removed: We also provide a set of multi-asset, multi-entity and multi-currency trading, connectivity and post-trade solutions that support processing of securities transactions in equities, options, fixed income securities, foreign exchange, exchange-traded derivatives and mutual funds.
−Removed: In addition, we provide comprehensive fixed income transaction processing capabilities to support clearance, settlement, custody, P&L reporting, and regulatory reporting for domestic and foreign fixed income instruments.
−Removed: Our solution includes extensive support for mortgage-backed securities and other structured products, and is a multi-currency, multi-entity solution that provides position and balance information, in addition to detailed accounting, financing, collateral management, and repurchase agreement functionality.
−Removed: The solution offers straight-through-processing capabilities, enterprise-wide integration, and a robust technology infrastructure - all focused on supporting firms specializing in the fixed income marketplace.
−Removed: We are advancing our capabilities and market offering through distributed ledger technology in repo markets, and leading across capital markets in the application of artificial intelligence (“AI”) as a service.
+Added: Our recent acquisition of CQG, Inc, (“CQG”), an execution management system provider to futures and options market participants, has expanded our execution management, algorithmic trading and market data capabilities and enhanced our market venue connectivity.
+Added: Our Post-Trade Processing solutions provide a multi-entity, multi-currency back-office platform serving institutional, correspondent clearing, proprietary trading, prime brokerage, custody and primary dealer clients.
+Added: Our platforms support real-time processing across a broad range of asset classes, including equities, ETFs, options, mutual funds, U.S.
+Added: Treasuries, agencies, corporate and municipal bonds, mortgage-backed securities, structured products, and foreign exchange.
+Added: The core capabilities of our solutions include comprehensive books and records, clearance and settlement, position and margin management, cash management, asset servicing, client statements, tax reporting, and finance and accounting services.
+Added: In addition, our distributed ledger repo solution (“DLR”) uses blockchain-enabled distributed ledger technology and smart contracts to automate end-to-end repo lifecycle processing.
+Added: This in turn drives greater liquidity, collateral mobility, and operational efficiency while driving cost savings for our clients.
Wealth and Investment Management Solutions
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Our business model
−Removed: We deliver multi-client technology and business process outsourcing services primarily through common SaaS-based operations platforms.
+Added: We deliver multi-client technology and business process outsourcing services primarily through common operations platforms.
We create layers of value for clients by harnessing network benefits, providing deep data and analytics, and offering a comprehensive suite of digital capabilities all on a single platform that enables deeper integration, streamlined onboarding, and better data access.
−Removed: Our SaaS offerings allow our clients to mutualize key functions and thereby reduce their costs.
+Added: Our offerings allow our clients to mutualize key functions and thereby reduce their costs.
All of this translates into our core value proposition, to be a trusted provider of technology and services across a range of analytical, operational, and reporting functions.
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Through our platform, we continue to grow our governance solutions by transforming content and delivery and improving e-product capabilities to drive higher investor engagement.
+Added: As the market evolves toward tokenized and digitally native securities, we are positioning our governance platform to support proxy voting, shareholder communications and issuer services across both traditional and tokenized infrastructures, which we believe creates meaningful growth opportunities.
We aim to be an integral partner to broker-dealers, asset managers, and retirement service providers by offering data-driven solutions that help them grow revenue, reduce costs, and maintain compliance.
We are also helping to simplify the governance process for public companies, offering an expanding suite of capabilities that allows them to better navigate the complexity of reaching shareholders.
−Removed: We continue to be a leading provider of investor communications, and are at the forefront of delivering richer communication experiences, both digitally and through optimized print and mail services.
+Added: We continue to be a leading provider of investor communications and are at the forefront of delivering richer communication experiences.
+Added: Our commitment to digitization is strong and we will continue to support our clients in their broader transition to a digital environment to improve engagement, efficiency, and compliance.
• Capital Markets.
−Removed: Global institutions have a strong need to simplify their complex technology environment, and our SaaS-based, global, multi-asset-class technology platforms address this need.
+Added: Global institutions have a strong need to simplify their complex technology environment, and our global, multi-asset-class technology platforms address this need.
As a leader in global trade lifecycle management, we are driving next-generation solutions that simplify our clients’ operations, improve performance and resiliency, evolve to global operating models, adapt to new technologies, and enable our clients to better manage their data.
−Removed: Our acquisition of Itiviti Holding AB, now operating as Broadridge Trading and Connectivity Solutions, for example, expanded our services across the trade lifecycle for equities and exchange-traded derivatives and grew our international reach.
We continue to leverage emerging technologies such as blockchain and AI to deliver innovative solutions to our clients.
−Removed: Our blockchain-enabled Distributed Ledger Repo (“DLR”) platform combines distributed ledger technology with existing market settlement infrastructure to provide clients added flexibility to manage their liquidity needs and execute cross-border intraday repo transactions through our DLR network.
−Removed: In addition, we have introduced a number of AI-driven solutions such as BondGPT and OpsGPT with agentic capabilities while continuing to develop new AI applications to create a more efficient trading process for our clients.
+Added: Our blockchain-enabled DLR solution combines distributed ledger technology with existing market settlement infrastructure to provide clients with added flexibility to manage their liquidity needs and execute cross-border intraday repo transactions.
+Added: Broadridge is also focused on launching new non-repo solutions through our expanded distributed ledger platform (“DLx”).
+Added: In addition, we are incorporating agentic AI into our fully managed services, where Broadridge runs operations end-to-end, or clients can deploy Broadridge’s agentic platform and technology directly into their own infrastructure.
+Added: In addition, we have a number of AI-driven solutions such as BondGPT with agentic capabilities and continue to develop new AI applications to create a more efficient trading process for our clients.
We also continue to develop component solutions that meet the regulatory, risk, data, and analytics needs of our clients, while also helping to drive more efficient liquidity, price discovery, and improved execution for the firms we serve.
−Removed: We plan to continue building on our global platform capabilities, enabling our clients to simplify and improve their global operations across cash, equity securities, and other asset classes.
+Added: We continue building on our global platform capabilities, enabling our clients to simplify and improve their global operations across cash, equity securities, and other asset classes.
+Added: We are adapting our capabilities for tokenized securities and extended or continuous trading models, to support interoperability between traditional and digital infrastructure and to help clients operate in more real-time, globally connected market environments.
• Wealth and Investment Management.
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Our platform enables firms to improve advisor productivity, provide a more personalized investor experience, and realize operational process efficiencies.
−Removed: Our acquisition of Kyndryl’s Securities Industry Services (“SIS”) business in 2024 has further bolstered our Wealth offerings in Canada by integrating advanced clearing and settlement, account record-keeping, and tax and regulatory reporting capabilities directly into our platform.
+Added: We have further bolstered our Wealth offerings in Canada by integrating advanced clearing and settlement, account record-keeping, and tax and regulatory reporting capabilities directly into our platform.
Our solutions also reduce complexity and capitalize on emerging technology to simplify operations across the trade lifecycle for hedge fund, private asset, and complex asset managers and their asset servicers.
+Added: In addition, we have a comprehensive extension of these capabilities to additional asset classes and full integration of tokenized and traditional infrastructure.
+Added: By integrating digital asset capabilities, we can help wealth firms move faster and unlock new opportunities in crypto, alternatives, and tokenized funds.
Across our growth themes, we continue to expand our global footprint, driving international growth through both strategic investments and organic initiatives.
These efforts reinforce our commitment to delivering scalable solutions to a growing and diverse global client base.
−Removed: On-ramp for next-generation technologies
+Added: On-ramp for next-generation technologies and market structure
Across financial services, the pace of change is only accelerating.
Our clients understand that next-generation technology is a key driving force for change and efficiency and that there is a need among our client base to leverage this technology to address their critical business challenges.
−Removed: However, our clients face obstacles in making the necessary investments and, more importantly, in applying the right talent and intellectual capital, which may be focused on their most differentiating functions.
−Removed: This continues to create a differentiated ability for us to support our clients in the areas where we have scale and domain expertise, which includes areas such as AI, blockchain, cloud, digital, and other new technologies.
+Added: These evolving technologies are reshaping the financial market ecosystem, including the infrastructure, and we are proactively adapting our offerings and investing in capabilities designed to support our clients through these changes.
+Added: Our clients face obstacles in making the necessary investments and, more importantly, in applying the right talent and intellectual capital, which may be focused on their most differentiating functions.
+Added: This continues to create a differentiated ability for us to support our clients in the areas where we have scale and domain expertise, which includes areas such as AI, digitization, tokenization, blockchain, digital assets, and other new technologies.
+Added: We are positioned to serve as a bridge between traditional and digital finance, as our capabilities are designed to support interoperability across both traditional and digital market models.
+Added: Our longstanding digital communications capabilities, with digitization rates of over 90% for equity proxy communications as of fiscal year 2026, will continue to assist clients in their transition from paper to digital communications.
+Added: In addition, our proven tokenization capabilities and digital infrastructure have supported the transformation of repo market activity, including approximately $7.5 trillion in monthly tokenized transactions in June 2026.
+Added: As financial markets evolve to include tokenized and other digital assets, we believe our role as a trusted and transformative partner, together with our deep compliance, governance and operational expertise, positions us to help clients navigate this transition.
+Added: We are building or further expanding our governance, capital markets and wealth capabilities to on-chain environments, including communications, proxy voting and distribution, regulatory reporting, digital transfer agency, digital asset trading, post trade reporting, wallet solutions, and full integration of our DLx platform.
By leveraging our services, firms can benefit from highly skilled, experienced personnel with deep industry expertise, while mutualizing the costs and risks of technology innovation.
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experimenting, partnering, and engaging.
−Removed: In turn, we help our clients stay on the cutting edge and realize the benefits of digital transformation at a quicker pace.
+Added: In turn, we help our clients stay on the cutting edge and realize the benefits of modernization and the latest technology and operational capabilities at a quicker pace.
High engagement and client-centric culture
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In fiscal year 2026, we:
−Removed: • managed proxy voting for over 900 million equity proxy positions;
+Added: • managed proxy voting for over 1 billion equity proxy positions;
• processed over 8 billion investor and customer communications through print and digital channels;
−Removed: • processed on average over $15 trillion in equity and fixed income trades per day;
+Added: • processed on average over $18 trillion in tokenized and traditional securities trades per day;
• provided fixed income trade processing services to 22 of the 26 primary dealers of fixed income securities in the U.S.;
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This emphasis on unified product disciplines ensures business units have seamless access to top tier expertise.
−Removed: Furthermore, we leverage AI to unlock new commercial opportunities and enhance overall productivity.
−Removed: To fuel this continuous innovation, we are building a robust foundation with workload-centric hosting optimized for security, scalability, and efficiency.
+Added: Furthermore, we leverage AI to unlock new commercial opportunities, enhance our product development approach and drive overall productivity.
+Added: To fuel this continuous innovation, we employ a robust foundation with workload-centric hosting optimized for security, scalability, and efficiency.
This standardized technology stack, powered by industry-leading enterprise tools, is fundamental to our strategy of delivering best-in-class solutions with improved speed.
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operations are subject to regulatory examination by the Federal Financial Institutions Examination Council (“FFIEC”), an interagency body of the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the National Credit Union Administration, and the Consumer Financial Protection Bureau.
−Removed: Periodic examinations by the FFIEC generally include areas such as internal audit, risk management, business continuity planning, information security, systems development, and third-party vendor management to identify potential risks related to our services that could adversely affect our banking and financial services clients.
−Removed: In addition, our business process outsourcing, mutual fund processing, and transfer agency solutions, as well as the entities providing those services, are subject to regulatory oversight.
+Added: Periodic examinations by the FFIEC generally include areas such as internal audit, risk management, business continuity planning, information security, systems development, operational resiliency, and third-party vendor management to identify potential risks related to our services that could adversely affect our banking and financial services clients.
+Added: In addition, our business process outsourcing, fund processing, registered fund distribution, and transfer agency solutions, as well as the entities providing those services, are subject to regulatory oversight.
Our business process outsourcing and mutual fund processing services are performed by a broker-dealer, Broadridge Business Process Outsourcing, LLC (“BBPO”).
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Finally, state laws govern certain services performed by our transfer agency business.
−Removed: Certain of our business units are required to comply with anti-money laundering (“AML”) laws and regulations in the U.S., such as the Bank Secrecy Act, as amended by the USA PATRIOT Act of 2001 (collectively, the “BSA”), and the BSA implementing regulations of the Financial Crimes Enforcement Network (“FinCEN”), a bureau of the U.S.
−Removed: Department of the Treasury.
−Removed: A variety of similar AML requirements apply in other countries.
−Removed: These business units are also subject to the relevant aspects of regulations and guidance published by FinCEN (as discussed below), which includes the Know Your Customer (“KYC”) requirements promulgated by FinCEN.
+Added: In January 2026, we acquired Acolin Group Holdco Limited (“Acolin”), a European provider of cross-border fund distribution and regulatory services and included in the Company’s ICS reportable segment.
+Added: Certain subsidiaries of Acolin are subject to supervision by the Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht, “Bafin”) in Germany, and by the Swiss Financial Market Supervisory Authority (“FINMA”) in Switzerland.
+Added: Acolin is therefore subject to regulations concerning many aspects of its businesses, including conduct requirements, minimum capital requirements, anti-money laundering prevention, the protection of client assets where applicable, record retention, and the oversight of outsourced functions, as well as the supervision of directors, officers, and employees.
+Added: Certain of our business units are required to comply with anti-money laundering (“AML”) laws and regulations in the U.S., such as the Bank Secrecy Act, as amended by the USA PATRIOT Act of 2001 (collectively, the “BSA”), the BSA implementing regulations of the Financial Crimes Enforcement Network (“FinCEN”), a bureau of the U.S.
+Added: Department of the Treasury, the AML laws and regulation in Germany, such as the German Anti-Money Laundering Act, and similar laws and regulations in foreign jurisdictions where we do business.
+Added: business units are also subject to the relevant aspects of regulations and guidance published by FinCEN (as discussed below), which includes the Know Your Customer (“KYC”) requirements promulgated by FinCEN.
Privacy and Information Security Regulations
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We perform services for healthcare companies and are, therefore, subject to compliance with laws and regulations regarding healthcare information, including in the U.S., the Health Insurance Portability and Accountability Act of 1996 (“HIPAA”).
−Removed: We also perform credit-related services and agree to comply with payment card standards, including the Payment Card Industry Data Security Standard.
+Added: We also perform certain payment card-related services and agree to comply with payment card standards, including the Payment Card Industry Data Security Standard.
In addition, federal and state privacy and information security laws, and consumer protection laws, which apply to businesses that collect or process personal information, also apply to our businesses.
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laws and regulations, and may impose additional duties on us in the performance of our services.
−Removed: We are subject to privacy laws and regulations such as the California Privacy Rights Act (“CPRA”) and the European Union’s General Data Protection Regulation (“GDPR”).
−Removed: The changing nature of privacy laws in the U.S., the European Union and elsewhere could impact our processing of personal information of our employees and on behalf of our clients.
+Added: We are subject to privacy laws and regulations such as the California Privacy Rights Act (“CPRA”), the European Union’s General Data Protection Regulation (“GDPR”) and its UK equivalent, and Canada’s Personal Information Protection and Electronic Documents Act (“PIPEDA”), and certain business lines are subject to state-level data brokerage laws.
+Added: The changing nature of global privacy laws could impact our processing of personal information of our employees and on behalf of our clients.
We continually monitor privacy and information security laws and regulations and, while we believe that we are compliant with our regulatory responsibilities, information security threats continue to evolve, resulting in increased risk and exposure.
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persons with specified countries and individuals and entities identified on OFAC's sanctions lists and Specially Designated Nationals and Blocked Persons List, which is a published list of individuals and companies owned or controlled by, or acting for or on behalf of, countries subject to certain economic and trade sanctions, as well as terrorists, terrorist organizations and narcotics traffickers identified by OFAC under programs that are not country specific.
−Removed: Similar requirements apply to transactions and dealings with persons and entities specified in lists maintained in other countries.
+Added: In Europe and other non-US jurisdictions in which we operate, sanctions laws and regulations impose prohibitions and restrictions with respect to transactions and dealings involving certain countries, territories, individuals, and entities subject to economic and trade sanctions.
+Added: These regimes generally include asset freezes, prohibitions on the making available of funds or economic resources, and restrictions on specific types of trade, financial services, and other business activities.
We have developed procedures and controls that are designed to monitor and address legal and regulatory requirements and developments to protect against having direct business dealings with such restricted and prohibited countries, individuals, or entities.
−Removed: Compliance with laws and regulations that are applicable to our businesses with an international reach can be complex and may increase our cost of doing business in international jurisdictions.
+Added: Compliance with global laws and regulations that are applicable to our businesses can be complex and may increase our cost of doing business in international jurisdictions.
Our international business could expose us to fines and penalties if we fail to comply with these regulations.
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Human Capital Management
−Removed: As of June 30, 2025, we had approximately 15,000 full-time associates spanning 21 countries.
+Added: As of June 30, 2026, we had approximately 16,000 full-time associates in 28 countries.
None of our U.S.
employees are represented by a labor union.
−Removed: In some countries outside the U.S., we have works councils, or we are required by local law to enter into and/or comply with industry-wide collective bargaining agreements.
+Added: In some countries outside the U.S., we have works councils, or we are required by local law to enter into and/or comply with collective bargaining agreements.
We believe that our employee relations are good.
18 unchanged sentences
We believe that our associates are among our most valuable assets and fostering their professional development is a core part of our organizational culture.
−Removed: To support this, we provide our associates with an array of online courses and both virtual and on-site training programs, known as Broadridge University.
−Removed: Our initiatives include career advancement programs from leading business schools, leadership development and mentoring opportunities, and a tuition reimbursement plan.
−Removed: We also encourage participation in external learning opportunities and events.
−Removed: These resources are designed to provide opportunities for associates at varying levels to expand their networks, and to gain valuable skills and knowledge to excel in their current roles, and enhance their leadership capabilities.
−Removed: We offer our technology associates with resources to supplement their work experience, including our Technology Expert Career Track, a transparent dual career path that allows associates to grow as leaders and experts within our organization.
+Added: To support this, we provide our associates with a broad array of learning and development opportunities through Broadridge University, including online courses and both virtual and on-site training programs.
+Added: Our initiatives include career advancement programs from leading business schools, leadership development and global mentoring opportunities, technical upskilling academies, and a tuition reimbursement plan.
+Added: We also encourage participation in external learning opportunities and industry events.
+Added: These resources are designed to provide personalized development guidance and support associates at all levels in expanding their professional networks, gaining valuable skills and knowledge to excel in their current roles, preparing for future opportunities, and enhancing their leadership capabilities.
We also empower associates to learn and grow as subject matter experts in areas related to our business, such as financial markets and AI.
−Removed: Our AI Academy offers voluntary learning paths and courses for our associates to establish a robust foundation in AI.
−Removed: In turn, this enables our associates to assist our clients with their expertise and adds value to our associates’ own career development and skill sets.
−Removed: In addition to career-oriented education, we also require all associates to complete a variety of trainings on an annual basis, which focus on our commitment to high ethical standards and a culture of honesty, integrity, and compliance.
+Added: Our AI Academy is a voluntary program that offers foundational, applied, and advanced learning paths, courses, and workshops for our associates to establish a robust foundation in AI.
+Added: In fiscal year 2026, approximately 5,000 associates participated in our AI Academy, completing more than 11,000 courses in the aggregate.
+Added: In turn, this enables our associates to better serve our clients while also adding value to their own career development and skill sets.
+Added: In addition to career-oriented education, we also require all associates to complete a variety of annual trainings that reinforce our commitment to high ethical standards and a culture of honesty, integrity, and compliance.
Health, Safety and Wellness
23 unchanged sentences
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.