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Leading shareholder communication service provider introduces tools for broker response to evolving retail investor interests


The press release linked in the article below also provided the following statements regarding the communication technologies now being provided by Broadridge:

“Schwab's use of the new polling technology, developed by Broadridge, is another step forward in the democratization of investing,” said Bob Schifellite, Broadridge's Investor Communication Solutions President. “Broadridge continues to invest in technology platforms designed to enhance shareholder engagement and allow public companies and asset managers the opportunity to better reflect the views of investors.”

Shareholders of the funds can expect to receive the poll via email or postcard beginning tomorrow through the next few weeks, with outreach to new shareholders of the funds occurring monthly. The insights from the poll will be leveraged as a new source of intelligence to help inform Schwab Asset Management’s proxy voting approach and policies.

For foundations of Broadridge support for engaging the interests of "retail" investor constituencies that represent  more than a third of the direct ownership of most large companies, see

Note: Broadridge Financial Solutions, Inc., provided leadership support of the Forum's 2010 "E-Meetings" public interest program that defined marketplace practices for virtual and "hybrid" shareholder meetings, and has served as the Forum's independent distributor for many of its shareholder surveys since that time.


Source: ALM | Think Advisor, October 13, 2022 article

Industry Spotlight > Advisors

Schwab Pilots New Broadridge Proxy Polling Solution: Tech Roundup

By Jeff Berman


Schwab Asset Management announced Thursday that it’s the first large asset manager to pilot a new proxy polling solution from fintech firm Broadridge Financial Solutions.

The new solution allows the asset management division of The Charles Schwab Corp. to poll fund shareholders to understand their key preferences regarding key proxy issues, according to Schwab.

“Voting shares of securities held by our funds is a duty Schwab Asset Management takes very seriously,” said Omar Aguilar, Schwab Asset Management CEO and CIO. “We want to better understand shareholders’ views on important proxy issues, and we know more shareholders want to share their views with us and express their unique preferences through their investments.”

Broadridge’s new solution was designed to provide an efficient and scalable way to gather general preferences across a large base of shareholders. The pilot will engage the shareholders of one Schwab Fund and two Schwab ETFs — the Schwab 1000 Index Fund (SNXFX), the Schwab 1000 Index ETF (SCHK) and the Schwab Ariel ESG ETF (SAEF).

As of June 30, Schwab Asset Management managed about $575.9 billion on a discretionary basis and $34.4 billion on a non-discretionary basis, it said.

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This Forum program was open, free of charge, to anyone concerned with investor interests in the development of marketplace standards for expanded access to information for securities valuation and shareholder voting decisions. As stated in the posted Conditions of Participation, the purpose of this public Forum's program was to provide decision-makers with access to information and a free exchange of views on the issues presented in the program's Forum Summary. Each participant was expected to make independent use of information obtained through the Forum, subject to the privacy rights of other participants.  It is a Forum rule that participants will not be identified or quoted without their explicit permission.

This Forum program was initiated in 2012 in collaboration with The Conference Board and with Thomson Reuters support of communication technologies to address issues and objectives defined by participants in the 2010 "E-Meetings" program relevant to broad public interests in marketplace practices. The website is being maintained to provide continuing reports of the issues addressed in the program, as summarized in the January 5, 2015 Forum Report of Conclusions.

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Shareholder Forum™ is a trademark owned by The Shareholder Forum, Inc., for the programs conducted since 1999 to support investor access to decision-making information. It should be noted that we have no responsibility for the services that Broadridge Financial Solutions, Inc., introduced for review in the Forum's 2010 "E-Meetings" program and has since been offering with the “Shareholder Forum” name, and we have asked Broadridge to use a different name that does not suggest our support or endorsement.