Document Archiving

New Account Processing / Imaging & Workflow Solutions

Imaging and Workflow is one of several automated Broadridge services that offer a time saving and cost-efficient alternative to manual work methods. Our process is designed to adhere to SEC recordkeeping and record retention rules (Rule 17a-3 and Rule 17a-4) and is unlike others offered in the industry that merely scan and archive document images. Broadridge incorporates workflow and legacy application integration to facilitate effective document review and system updating. Current mainframe applications such as document tracking systems and name and address files, as well as informational databases are seamlessly updated with critical time-sensitive data once document images are deemed accurate and complete.

Service to Features

  • Complete processing operation includes document review and quality control
  • Electronic routing of document images between departments
  • Branch operations, compliance, legal operations IRA, Margin, ACAT departments
  • Development and support of automated new account opening system to meet your unique requirements
  • Browser-based workflow and retrieval of document images

Regulatory Compliance

  • Images stored on WORM (write-once read-many) technology
  • Documents always available for reprint/representation
  • Document Security
  • Client definable system access protects client information
  • Application Service Provider (ASP) Environment
  • Complete hosting of hardware and system applications

PostEdge Functionality Features

Document Types

  • AFP
  • Metacode
  • XML

Other:

  • Line Mode / ASCII
  • Daily Reports
  • TIFF
  • Scanned images
  • Faxes
  • Mail

SEC Compliance

Documents (original) always available for reprint/representation

  • Helps satisfy SEC retention and archival requirements:
  • Daily Reports 32 months magnetic \72 months optical
  • Statements 102 months magnetic \120 months optical
  • Confirmations 102 months magnetic \120 months optical
  • 1099s 102 months magnetic \120 months optical

Document Security

  • Client definable document access protects client business information
  • Security measures are taken at the online service centers and in transit to and from the online service center
  • Report Storage and Retrieval
  • Report storage with full-text searches to easily locate information, and filters to create unique reports
  • Users can create derived reports by combining data from two or more related reports
  • Capability to save criteria of frequently performed searches
  • Capability to export filtered data to a variety of formats including MS Excel and ASCII text
  • Data Center Reliability and Equipment

Servers

  • Primary servers are IBM S80 machines, the largest IBM SMP machine available
  • Multi-tiered server architecture targeted to ingest in excess of 2 million pages per hour

Document Storage Capability

  • Can store and retrieve billions of documents
  • Multi-tiered server architecture targeted to ingest in excess of 2 million pages per hour

Data Center Management

  • Facilities employ highly skilled data engineers and technicians whose disciplines include high-speed data networks and information security
  • Both primary and secondary data centers constructed with room to grow
  • 24 x 7 x 365 system monitoring and support
  • Comprehensive disaster recovery methodologies including optional dual hosting
  • Dual hosting option means virtually 100% system availability


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