Tim Gokey Archives - The Industry Spread

Broadridge Launches Service to Address European SFTR Regulation

June 19, 2019

Securities Financing Transactions Regulation (SFTR), effective in Q2 2020, is part of the European Union’s implementation of the global effort to regulate shadow banking and increase transparency in the securities finance markets. The SFTR requires firms to solve questions around areas such as data sources, exception management flows (including counterparty interaction), and reporting vendor services.

Broadridge to Launch Investor Voting App

April 15, 2019

The Investor Voting App, which builds on the firm’s mobile voting feature launched in 2011, allows investors to vote directly and receive important regulatory and educational information relating to corporate direction.