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

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