Introducing CEFEX DOL Cybersecurity Verification

Broadridge's CEFEX certification program now includes an optional "DOL Cybersecurity Verification" for advisors and recordkeepers. This is offered using an additional questionnaire within the existing CEFEX assessment based on the DOL Cybersecurity Program Best Practices, published in April 2021.

The CEFEX Analyst confirms the firm follows DOL best practices related to cybersecurity by reviewing documents and records of action taken to adhere to these practices. If the verification is successful, the scope of the service provider’s CEFEX certification will indicate the following:
"including processes designed to satisfy the Department of Labor's Cybersecurity Program Best Practices".


  • Increase trust with clients by demonstrating adherence to DOL Cybersecurity Best Practices. Independent CEFEX verification provides a more powerful message than simple self-attestation.
  • Demonstrate your organization’s commitment to high professional standards and industry best practices.
  • Gain recognition as a fiduciary expert with individual and institutional clients, industry professionals and regulators.
  • Improve credibility with prospects and win new business by using a firm-level certification as independent validation of your fiduciary expertise and commitment to operating in your clients' best interests.
  • Join an elite group of organizations transforming financial services.
  • Realize continuous improvement and get better outcomes for clients and stakeholders.

For More Information

Download our brochure here.

Contact your CEFEX Analyst or your Broadridge representative at 866-390-5080 or