Learn how data-driven analytics, omni-channel delivery, and blockchain are helping mutual funds achieve their proxy goals. Join us for a discussion about the rise of social media and text messaging and how to apply these digital strategies to shareholder voting and how distributed ledger technology eliminates the need for post-vote reconciliation. Participate in an active discussion on how the accuracy, transparency, and efficiency of the proxy voting and solicitation system can be improved via digital strategies.

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Thank you for attending our webinar
today. We will begin momentarily.

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January 9, 2019
How data-driven analytics, omni-channel delivery
and blockchain are helping mutual funds
achieve their proxy goals
Next-generation
proxy voting
WELCOME
This webinar and the slides contained herein do not constitute legal
advice or recommendations for specific actions for your firm.

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Next-generation proxy voting
Michael Collins
Vice President and General Manager
Mutual Fund Proxy Solutions
Broadridge
Elizabeth Maiellano
Vice President Product Management
Broadridge Financial Solutions
Michael Koehler
Director of Investor Relations
Phillips Edison
Panelists

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Corporate issuers can rely almost exclusively on
institutional shareholders to achieve their voting goals.
When it comes to proxy voting, mutual
funds face an uphill climb.
Mutual funds must be
far more proactive.

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If a mutual fund cannot attain quorum,
the ramifications may be costly.
• Mergers might be abandoned.
• Advisory contracts can lapse.
• Funds may forfeit incurred expense.
Low retail voting rates pose serious risks for funds.

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In this webinar, you’ll discover how
new technologies like advanced
analytics, omni-channel
communication and blockchain will
help, or are already, helping funds:
PLAN THE VOTE:
Execute data-driven campaign planning
and management.
DRIVE THE VOTE:
Deliver more impactful communications.
CAPTURE THE VOTE:
Make voting easier for shareholders.
PROCESS THE VOTE:
Transform processing and reconciliation.

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PLAN THE VOTE
Execute data-driven campaign planning
and management.

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PLAN THE VOTE
Discretionary voting
• Brokers may vote on behalf of clients
in cases where shareholders don’t
provide specific instruction.
• Applies when the meeting agenda
contains routine items.
• When funds build a proxy solicitation
campaign around discretionary
voting, they can:
– Specifically target brokerages that hold
a large number of shares.
– Achieve quorum faster and
more efficiently.

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DRIVE THE VOTE
Deliver more impactful communications.
An omni-channel approach combines the best
of both worlds. Augment physical with digital
communications to drive participation.
Enhanced packaging offers a more
immediate, compelling interaction that
starts with the envelope.

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• Many shareholders call their advisor
for help with proxy voting.
• Make sure advisors are informed
and knowledgeable and can help
navigate shareholders through
the process.
• Consider sending Q&As to advisors
in advance.
DRIVE THE VOTE
Leading funds focus on shareholder
and advisor education.

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CAPTURE THE VOTE
Make voting easier for shareholders.
Consumer expectations are changing as fast as technology itself.
Everything must be quicker, easier, more intuitive.

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CAPTURE THE VOTE
The rise of social media and text messaging.
Social media
Marketing tools enable funds to target
shareholders with pinpoint accuracy.
Some funds even design ads to target specific
shareholder segments.
Text messaging
Notifications and reminders can direct
shareholders to voting websites.
In the very near future, it will be possible to
facilitate voting directly via text mesages.

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CAPTURE THE VOTE
Top Five Reasons to Adopt
Digital Proxy Communications
Shareholders prefer it.
Shareholders demand the same kind of consumer-first experience they’re getting everywhere else.1
2
3
4
5
Competitors are stepping up.
Funds that don’t use digital communications are already behind.
It’s proven to work.
Shareholders who choose digital communications vote at roughly the same frequency as
paper-only shareholders.
Speed matters.
Funds minimize voting turnaround time when they execute a digital-first strategy.
It saves money.
Digital communications alleviate costs associated with printing and postage.

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PROCESS THE VOTE
Tomorrow’s technology: How blockchain
eliminates the need for post-vote reconciliation
In 2018 Broadridge completed a successful
pilot with a corporate issuer using
blockchain technology to process voting
for annual meeting.
Although the technology is not yet
available for open-end mutual funds,
our engineers are finding promising
applications for ETFs and closed-end funds.
Blockchain streamlines the proxy-voting process by
using distributed ledger technology to generate an
immutable and shared record of all voting activity.
This hyper-secure recordkeeping mechanism enables
real-time proxy vote reconciliation, driving improved
efficiency, cost savings and confidence.

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Michael Collins
VP/General Manager
Michael.Collins@broadridge.com
631-254-7562
Questions and Answers
Elizabeth Maiellano
Vice President Product Management
Broadridge Financial Solutions
Michael Koehler
Director of Investor Relations
Phillips Edison

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Michael Collins
VP/General Manager
Michael.Collins@broadridge.com
631-254-7562
Elizabeth Maiellano
Vice President Product Management
Broadridge Financial Solutions
Michael Koehler
Director of Investor Relations
Phillips Edison
Thank you for joining us today
As a thank you gift for attending
a new report:
Next-Generation Proxy Voting
will be emailed to you following the event