Compliance Product Roadmap - Broadridge

2011 Product Roadmap22c-2 Focus– Improving the platform by adding value based on acollaborative effort with our clients.Intermediary Oversight Focus– A conduit for implementing an OperationalCompliance Strategy by creating a centralizerepository that supports a platform from which a firmcan assess and effectively manage operational risk.Confidential Information – Not to be distributed without permission4

Product RoadmapCurrent Development22c-2Pattern Tool %VarianceOmni/SERVConnectivitySDR RejectCode UpdatesStd DeviationToolEnhancementMoreEfficientImprovedProcessingFund TurnoverAnalysis andReportingShareholderMailingReconciliationPay to PlayAnalysis &ReportingPlatformCompensationManagementIntermediary OversightConfidential Information – Not to be distributed without permission5

Product RoadmapFuture Development22c-2New UserReportsAsset Based ProfileEnhancementsManager’sDesktopEliminatefalse positivetransactionsIntermediaryOversight –DBFactoring WeightingRisk ManagementRep/ Branch/ FirmMonitoringIntermediaryCertificationRepositoryPaymentReconciliationIntermediary OversightConfidential Information – Not to be distributed without permission6

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