SS&C Brokerage Solutions

BUSINESS CONTINUITY DISCLOSURE

DISCLOSURE REQUIRED BY FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) 4370

To address interruptions to our normal course of business, SS&C Brokerage Solutions maintains a business continuity plan, which includes geographically dispersed data centers and processing facilities. The plan is reviewed annually and updated as necessary.

The plan outlines the actions SS&C Brokerage Solutions will take in the event of a building, city, or regional incident, including:

• Continuous processing support by personnel located in unaffected facilities
• Relocating technology or operational personnel to alternate regional facilities
• Switching technology data processing to an alternate regional data center

All SS&C Brokerage Solutions operational facilities are equipped for resumption of business and are tested. Regarding all circumstances within our control, SS&C Brokerage Solutions’ recovery time objective (RTO) for business resumption, including those involving a relocation of personnel or technology, is four (4) hours or less, depending upon the availability of external resources.

BUSINESS CONTINUITY PLANNING-DISASTER RECOVERY PLAN

SS&C Brokerage Solutions has developed a Disaster Recovery Plan to address the possibility of a pandemic outbreak and provide you with an overview of our plans for mitigating the potential impact.

If such a situation occurs, we are confident that we are well positioned to maintain critical functions in support of your business.

MUTUAL FUND FEES AND REVENUE SHARING

SS&C Brokerage Solutions receives operational reimbursements from mutual funds in the form of networking or omnibus processing fees. These reimbursements are based either on a flat fee per holding or a percentage of assets and are remitted to SS&C Brokerage Solutions for its work on behalf of the funds. This work may include, but is not limited to, subaccounting services, dividend calculation and posting, accounting, reconciliation, client confirmation and statement preparation and mailing, and tax statement preparation and mailing. These fees may be a significant source of revenue for SS&C Brokerage Solutions.

SPONSORSHIP FEES DISCLOSURE

Third-party product and service providers (e.g., mutual funds, annuity companies, exchange-traded funds [ETFs], money market funds, money managers, technology and business solutions) may offer marketing support in the form of sponsorship fee payments to SS&C Brokerage Solutions (or third parties at SS&C Brokerage Solutions’ direction) in connection with educational conferences, events, seminars, and workshops for broker-dealers or advisors. These payments may be for the expenses of educational materials or other conference-related expenses.

 

Some services are offered by SS&C Brokerage Solutions a registered broker-dealer, member FINRA and SIPC. SS&C Brokerage Solutions is a wholly-owned subsidiary of DST Systems, Inc. and an affiliate with DST Brokerage Solutions.

SS&C Brokerage Solutions Online Privacy Policy

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* Note: Social media links/pages are for SS&C Technologies, Inc. and not SS&C Brokerage Solutions. SS&C Brokerage Solutions does not advertise or communicate via social media.