Products July 6, 2012

Broadridge Launches Communication Solution

Broadridge Financial Solutions Inc. collaborated with BlueRush Digital Media to create an online communication solution for financial advisers.
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Smart Advisor empowers advisers to improve the creation, distribution and tracking of regulatory and non-regulatory communications. The solution simplifies and automates how advisers publish and track communications and manage individual investor delivery preferences of all document or media types including PDFs, podcasts and videos.

Smart Advisor’s compliance-tracking module offers built-in support to help advisers comply with the upcoming regulatory requirements for point-of-sale communications, and can integrate with Broadridge’s existing prospectus delivery system.

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“This technology-enhanced solution enables advisers to transform the level of efficiency and effectiveness of communications to customers while helping them meet compliance requirements,” said Donna Bristow, vice president of client management and strategic product development/investor communication solutions for Broadridge in Canada.

More information about Broadridge is available at www.broadridge.com, and information about BlueRush is available www.bluerush.com.

Deals & People July 6, 2012

SEC Names N.Y. Division Head for Investment Exam Program

 

The Securities and Exchange Commission (SEC) appointed Ken C. Joseph to lead the Investment Adviser/Investment Company Examination Program in the agency’s New York office.

 

 

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For the past 16 years Joseph has been a staff attorney, branch chief and assistant director in the SEC’s Division of Enforcement in Washington, D.C., and New York. Most recently, he was an assistant director in the division’s asset management unit, where he played a leading role in cases involving investment advisers and investment companies, including hedge funds and private-equity firms.

In his new position, he will manage approximately 100 accountants, examiners, attorneys and support staff involved in the examination of investment companies and investment advisers in New York and New Jersey. According to Carlo di Florio, director of the SEC’s Office of Compliance Inspections and Examinations (OCIE), the national examination program’s mission is to promote compliance, prevent fraud, inform policy and identify risk at a time of significant regulatory change.

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“Over Ken’s career at the SEC, and most recently as a member of the asset management unit, he has worked extensively with OCIE on critical cases involving investment advisers and investment companies,” di Florio said.

Joseph holds a bachelor’s of science and a master’s of business administration from St. John’s University, and a juris doctor from the University of North Carolina at Chapel Hill School of Law.

 

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