# Broadridge Sentry

Loan management technology

Research: https://www.safecli.org/company/broadridge.com
Company: https://broadridge.com

## Evidence status

Procurement review needed
Source review: 2026-10-16T03:30:49.745Z
API: Private API

Company-published claims, not independently verified controls. Unknown is not evidence of absence.

## Procurement checks

### Security assurance — Mixed claims — review

> - SOC 2 Type 2

Source: https://trust.broadridge.com/
Reviewed: 2026-10-16T03:30:49.745Z

> • SOC 2 Type 2 unqualified opinion related to information security (Annually)

Source: https://www.broadridge.com/_assets/pdf/broadridge-proxy-services-third-party-reviews.pdf
Reviewed: 2026-10-16T03:30:49.745Z

> - SOC 2 + HITRUST

Source: https://trust.broadridge.com/
Reviewed: 2026-10-16T03:30:49.745Z

> • There are two relevant categories of SOC reports: – SOC 1: Controls relevant to internal control over financial reporting – SOC 2: Controls relevant to one or more of the Trust Services Principles (Security, Availability, Processing integrity, Confidentiality, or Privacy).

Source: https://www.broadridge.com/_assets/pdf/broadridge-proxy-services-third-party-reviews.pdf
Reviewed: 2026-10-16T03:30:49.745Z

- [ ] Request the current audit report, scope, exceptions and expiry; confirm the vendor entity.
- [ ] Record reviewer, test date, scope, result and supporting artifact.

### SSO & provisioning — Company-published

> The vulnerability affects Citrix NetScaler ADC and Citrix NetScaler Gateway deployments only when the relevant version and SAML configuration conditions are present.

Source: https://trust.broadridge.com/
Reviewed: 2026-10-16T03:30:49.745Z

> For NetScaler ADC and NetScaler Gateway version 13.1, Citrix identifies deployments before 13.1-64.23 as affected only when configured as a SAML service provider or SAML identity provider.

Source: https://trust.broadridge.com/
Reviewed: 2026-10-16T03:30:49.745Z

- [ ] Test SSO enforcement, user removal and privileged-account recovery.
- [ ] Record reviewer, test date, scope, result and supporting artifact.

### Access controls — Not found


- [ ] Test least-privilege roles and cross-tenant access with separate test accounts.
- [ ] Record reviewer, test date, scope, result and supporting artifact.

### Auditability — Company-published

> Broadridge provides perimeter controls to detect unauthorized access to work areas within Broadridge Facilities and creates an audit trail of all access attempts, whether granted or refused.

Source: https://www.broadridge.com/_assets/pdf/info-security-annex.pdf
Reviewed: 2026-10-16T03:30:49.745Z

- [ ] Verify administrative and data-access events, retention and export.
- [ ] Record reviewer, test date, scope, result and supporting artifact.

### Data handling — Not found


- [ ] Review DPA, subprocessors, retention, deletion, residency and AI training use.
- [ ] Record reviewer, test date, scope, result and supporting artifact.

### Reliability & support — Company-published

> - Incident Response

Source: https://trust.broadridge.com/
Reviewed: 2026-10-16T03:30:49.745Z

> ## Incident Response

Source: https://trust.broadridge.com/
Reviewed: 2026-10-16T03:30:49.745Z

- [ ] Request SLA, incident history, recovery targets and support escalation terms.
- [ ] Record reviewer, test date, scope, result and supporting artifact.

### Product effectiveness — Company-published

> – The external auditors test Broadridge’s assertion that there is a 100% confidence level that the accuracy of Broadridge’s votes, in this category is, 100% – Vote transactions under the 50,000 threshold are reviewed internally via random testing, utilizing a statistical sampling method.

Source: https://www.broadridge.com/_assets/pdf/broadridge-proxy-services-third-party-reviews.pdf
Reviewed: 2026-10-16T03:30:49.745Z

> – The external auditors test Broadridge’s assertion that there is a 99% confidence level that the accuracy of Broadridge’s votes, in this category is, 99.8% includes Electronic and Paper ballots

Source: https://www.broadridge.com/_assets/pdf/broadridge-proxy-services-third-party-reviews.pdf
Reviewed: 2026-10-16T03:30:49.745Z

- [ ] Run a representative pilot against your current workflow; measure errors, missed cases, time saved and human review cost.
- [ ] Record reviewer, test date, scope, result and supporting artifact.

## Decision

- Owner:
- Intended use and data sensitivity:
- Blocking requirements:
- Pilot success criteria:
- Unresolved risks:
- Decision and review date: