Canadian Independent Securities & Mutual Fund Dealers

Broadridge’s Dataphile is a comprehensive suite of real-time solutions for Canadian independent securities and mutual fund dealers.

Straight-through brokerage accounting

ExeClear® is Dataphile’s real-time back-office processing, recordkeeping and reporting system designed to meet IIROC and MFDA requirements. It features unlimited online history, online data validation and synchronization, robust query tools, and full correspondent processing with support for IIROC types 1-4. Its flexible platform can easily be configured to support multiple companies or branch offices with different policies or requirements.

Integrated wealth management desktop

Dataphile incorporates ProPhile®, a complete front-office solution for investment advisors and planners that includes:

  • Online account opening and KYC support, customized to your firm’s forms and workflows
  • Account management tools, including email and spreadsheet integration, notes and reminders, online cheque requests, summaries of plan contributions and foreign holdings, pro-forma accounts and more
  • Presentation-quality portfolio reporting tools
  • User-friendly query tools to generate standard and custom reports

End-to-end order management and execution

Serve the needs of your investment advisors, sales management, compliance and operations professionals with a single order management environment. Dataphile’s RapidPhire® offers compliance monitoring from point of entry; direct connections to Canadian exchanges, US executing brokers and FundSERV; post-trade reporting and more.

Real-time messaging

Dataphile enables managers, operations professionals and advisors to monitor orders from entry through execution in real time.

Online investor access

Integrated into your own branded website, Dataphile ExeNet® gives your clients instant access to their securities holdings, cash balances, pending trades, account history, and RSP/RIF information from browsers and mobile devices. You can also offer integrated online trading.

Service and support you can rely on

  • Dedicated client services, application specialists and client services support
  • Optional accelerated development with a professional services team
  • Scalable, flexible ASP delivery
  • 24 x 7 operations team with escalated backup
  • Optional disaster recovery solutions

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