VA/VL provider streamlines SEC Rule 30e-3 and 498A compliance with a single-source solution

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A MAZE OF REGULATORY AND OPERATIONAL CHALLENGES A large variable annuity (VA) provider with more than one million contracts had tremendous difficulty managing, delivering and reporting on regulatory document fulfillment (prospectuses, shareholder reports, supplements) in adherence to SEC Rules 30e-3 and 498A. In addition to inefficiencies in gathering and sorting through various systems and reports, they experienced typesetting and filing vendor difficulties as well as ballooning costs. A STREAMLINED, SINGLE-SOURCE SOLUTION Broadridge solved the provider’s fulfillment and reporting challenges with an integrated solution that combines data management, automated and traditional composition, SEC filings, fulfillment and web hosting. The result: A more efficient, economical pr

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VA/VL provider streamlines SEC Rule 30e-3 and 498A compliance with a single-source solution

VA/VL provider streamlines SEC Rule 30e-3 and 498A compliance with a single-source solution

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