Broadridge encourages dialogue on proxy process and shareholder communication issues in Canada, the U.S., and globally.

We participate actively in these very important discussions, providing the benefits of our experience and expertise, and critical access to quantitative data. In addition, we value and invest heavily in continuous improvement, particularly in technological solutions that support the principles of efficiency, equity and engagement in the proxy process.


Broadridge Response to CSA Consultation Paper 51-404 – Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers



Comment Paper to the Canadian Securities Administrators Regarding Revised Proposed Amendments to National Instrument 54-101, 51-102 and their Related Companion Policies

n August, industry participants were invited to submit comment letters regarding the Canadian Securities Administrators’ proposed amendments to National Instrument 54-101. Many of the proposals deal with a proposed notice-and-access methodology.
Technology-based solutions will deliver the benefit of creating incremental efficiencies for issuers and investors as e-delivery becomes more prevalent in Canadian proxy communications. Amending NI 54-101 represents an opportunity to establish a solid foundation for the evolution of a more efficient, equitable, and transparent Canadian proxy system.


Comment Paper to the Canadian Securities Administrators Regarding Proposed Amendments to National Policy 11-201 Delivery of Documents by Electronic Means

“Technological evolution relies on - and at the same time allows - regulatory evolution. Together, new regulations and innovative, technology-based solutions that permit the practical implementation of new rules are driving efficiency, equity, and more robust investor engagement.”


Comment Paper to the Ontario Securities Commission Regarding Staff Notice 54-701 - Regulatory Development Regarding Shareholder Democracy Issues

There is no process in existence that cannot be improved and it may well be time to re-examine the issues and process relating to the proxy voting system in Canada. However, we believe that any review of the process must be conducted based on a solid foundation of factual and balanced information.