UKAS Certificate Template multisite rev3.3 1 / 2 March 01, 2019

IBM Global Technology Services Broadridge Financial Services Account

Head Office: 4499 Fisher Road, Columbus, OH 43228 – USA

This is a multi-site certificate, additional site details are listed in the appendix to this certificate

Bureau Veritas Certification Holding SAS – UK Branch certifies that the Management

System of the above organisation has been audited and found to be in accordance with the requirements of the management system standards detailed below

ISO/IEC 27001:2013

Scope of certification

The Planning, Architecture, Implementation & Management of IBM IT Services for the

Broadridge Financial Services Account which include Server Systems Operations, End User Support, Maintenance and Problem Support, Site and Facilities

Management and Business Continuity.

Statement of Applicability Version number and release date: RE 0314 Revision 14 dated January 13th, 2021

Original cycle start date: 07-Mar-2012

Expiry date of previous cycle: 06-Mar-2021

Certification / Recertification Audit date: 11-Feb-2021

Certification / Recertification cycle start date: 03-Mar-2021

Subject to the continued satisfactory operation of the organization’s Management System, this certificate

expires on: 06-Mar-2024

Certificate No. IND.21.1217/IS/U Version: 1 Issue Date: 03-Mar-2021

0008

Certification body address: 5th Floor, 66 Prescot Street, London E1 8HG, United Kingdom

Local office: Bureau Veritas Certification North America, Inc., 16800 Greenspoint

Park Drive, Suite 300S, Houston, Texas USA

Further clarifications regarding the scope of this certificate and the applicability

of the management system requirements may be obtained by consulting the organisation. To check this certificate validity please call: +(800) 937-9311

UKAS Certificate Template multisite rev3.3 2 / 2 March 01, 2019

IBM Global Technology Services Broadridge Financial Services Account

Standard

ISO/IEC 27001:2013

Scope of certification

Certification body address: 5th Floor, 66 Prescot Street, London E1 8HG, United Kingdom

Local office: Bureau Veritas Certification North America, Inc., 16800 Greenspoint Park Drive, Suite

300S, Houston, Texas USA

Further clarifications regarding the scope of this certificate and the applicability of the management system requirements may be obtained by consulting the organisation. To check this certificate validity please call: +(800) 937-9311.

Site Name/Location

Site Address Site Scope

COLUMBUS, OH 4499 Fisher Road, Columbus, OH 43228 -

USA

The Planning, Architecture, Implementation & Management of IBM IT Services for the Broadridge Financial Services Account which include Server

Systems Operations, End User Support, Maintenance and Problem Support, Site and

Facilities Management and Business Continuity.

POUGHKEEPSIE, NY

2455 South Road, Poughkeepsie, NY 12601 - USA

The Planning, Architecture, Implementation & Management of IBM IT Services for the Broadridge Financial Services Account which include Server

Systems Operations, End User Support, Maintenance and Problem Support, Site and

Facilities Management and Business Continuity.

Certificate No. IND.21.1217/IS/U Version: 1 Issue Date: 03-Mar-2021

0008 0008