Caceis launches SRD II solution for retail and institutions from Broadridge


NEW YORK, LONDON and MUNICH, July 20, 2021 / PRNewswire / – In response to new regulatory obligations under the updated Shareholder Rights Directive (SRD II), CACEIS Bank SA, Germany Branch selected the world leader in FinTech Broadridge Financial Solutions, Inc. (NYSE: BR) to provide it with a full suite of advanced solutions for the directive. Caceis operates live on Broadridge’s SRD II solutions, enabling it to meet Directive requirements for increased governance and transparency through a strategic end-to-end voting and disclosure process across all European markets concerned.

Caceis uses Broadridge’s enhanced global proxy voting platform for its domestic and cross-border custody operations in Germany, enjoying a high level of straight-through processing efficiency throughout the voting lifecycle for its extensive network banking and brokerage intermediaries as well as for their institutional investor clients. The bank also uses Broadridge’s new Shareholder Disclosure Hub, both in Germany and more broadly within the Caceis Group, enabling it to respond to requests from issuers of information on shareholders within the tight deadlines imposed by the Directive.

“We welcome and fully support the increased levels of corporate governance introduced by the SRD II, as well as its objectives of improving communication standards between issuers and investors, and the desire for greater shareholder engagement”, said Stéphane Arvor, member of the German executive committee and responsible for information technology, Caceis Bank SA, German branch. “By working with Broadridge as a trusted partner, we have benefited from their proven global leadership in the processing of proxy votes, their in-depth and highly experienced talent pool of knowledgeable experts, and their exceptional proposition that supports handles both communications with retail and institutional shareholders and their respective multi-shares. channel delivery requirements. “

“Caceis has taken a structured and accountable approach to SRD II compliance, which enables it to play an important role in promoting shareholder democracy and market-wide governance standards throughout the communication chain. with shareholders, ”said Demi Derem, managing director of international investor communications, Broadridge. “SRD II has a global reach, impacting any financial intermediary that owns or manages European equities. Many companies like Caceis, including banks, brokers and wealth managers, are required to provide voting and disclosure services for the first time, and it is important that they meet their new obligations.

Broadridge’s Enhanced Global Proxy Solution Uses White Label Retail Voting Platform, ProxyVote©, as well as its multi-custodian institutional voting platform, ProxyEdge©. It enables same-day event capture and distribution, same-day proxy voting and vote confirmations processing, advanced multi-channel retail functionality and European customer data storage. Its new Shareholder Disclosure Hub, an industry-wide digital solution, uses the latest API and blockchain-based technologies to meet SRD II’s new shareholder disclosure requirements and provide industry-leading data security.

Broadridge has successfully implemented over 300 customer solutions for SRD II, in markets spanning EMEA, North America and Asia Pacific.

About Caceis

CACEIS is the asset management banking group of Crédit Agricole and Santander dedicated to asset managers, insurance companies, pension funds, banks, private equity and real estate funds, brokers and corporate clients. By offices across Europe, North and South America, and Asia, CACEIS offers a wide range of services covering execution, clearing, foreign exchange, securities lending, custody, custody and administration of funds, assistance in the distribution of funds, outsourcing of middle office and issuer services. With 4,200 billion euros in assets under custody and 2,200 billion euros in assets under administration, CACEIS is a European leader in Asset Servicing and one of the main global players (figures as of December 31, 2020).

About Broadridge

Broadridge Financial Solutions (NYSE: BR), a global leader in FinTech with more than $ 4.5 billion in revenue, provides the critical infrastructure that powers investment, corporate governance and communications to enable better financial lives. We provide technology solutions to banks, brokers, asset and wealth managers and public companies. Broadridge’s infrastructure serves as a global communications hub for corporate governance by connecting thousands of public companies and mutual funds to tens of millions of individual and institutional investors around the world. In addition, Broadridge’s technology and operational platforms underpin daily trading on average more than the United States. 10,000 billion dollars global equities, fixed income and other securities. Great Place to Work® certified, Broadridge is included in the S&P 500® index and employs more than 12,000 people in 21 countries. For more information about us and what we can do for you, please visit

Contact information

W. Edings Thibault
Investor Relations
(516) 472-5129

Gregg Rosenberg
Business communication
(212) 918-6966

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SOURCE Broadridge Financial Solutions, Inc.

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