COSTLY CHALLENGES When a global financial services firm needed to upgrade aging proprietary technology for its U.S. business, it realized the costs to do so would be excessive and not an optimal use of capital. Instead, the firm sought capable technology providers to replace its technology platform. Rather than bring in multiple vendors to replace its equities and listed options platform, the firm chose a single partner, Broadridge, because of its proven technology platform and business process outsourcing offering. Broadridge managed the costs associated with operations support for the firm’s post-trade processing while positioning the firm for future growth. A NEED FOR INNOVATION As a U.S. primary dealer and a top-five dealer in the mortgage backed securities market, the firm

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