Regulatory Changes and How They Affect You

Notice and Access provides corporate issuers with a new tool to communicate with securityholders. If you choose to use Notice and Access, you will need to make some proxy process changes. Alternatively, you can continue to provide only paper-based communications as you do today. Issuers should seek advice from legal counsel about Notice and Access eligibility.

What is Notice and Access

Securities regulators have amended two – National Instruments 54-101 and 51-102 – which enable issuers to offer securityholders the option to receive certain meeting materials and continuous disclosure information using the Internet. This is in addition to the traditional print and mail delivery of annual and interim financial statements and MD&A statements.

How Notice and Access impacts your business

Notice and Access offers many benefits to issuers and securityholders. Securityholders can provide a preference for how they wish to receive securityholder material whether through a web link or a physical mailing; they can also decide after opting for Notice and Access delivery, to switch back at anytime to a Full Set of paper-based information through the postal services. Notice and Access may also reduce printing and postage expenses. There will also be an environmental benefit as less paper is likely to be recycled or go into landfills, and carbon emissions will be reduced as physical delivery of documents declines.

How you can save money

Broadridge advises you to complete a financial analysis to determine if the cost of implementing Notice and Access will be offset by the printing and postage savings. Speak to your Broadridge representative today about how we can help you reduce printing and postage expenses while improving the securityholder experience. We have the experience, know-how and comprehensive service offering to help ensure you realize the full benefits of Notice and Access.

Notice and Access Tools

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