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New and Easy Solution to Address KYP for Client Focused Reforms

Know your product due diligence of suitable investment advice.


KYP Comparison Solution Broadridge has partnered with Skymantle Technologies to offer a tool to allow advisors to compare like-for-like securities through a simple to use interface, initiated through a single sign on (SSO) from Dataphile. The comparison solution can be called as part of pre-trade portfolio process or as part of the overall trade process. The record of the comparison and capture of the data will become part of an audit log and will be made available to pre-trade and post-trade compliance solutions, subject to requirements defined by the team. The tool will also include comparison solutions to identify periodic material changes to funds, ETFs and other securities for Dealer product desks. The new Broadridge KYP Comparison engine, integrated with the Dataphile Web Desktop, RPM and Windfund applications, provides a simple, seamless advisor order and compliance experience.

Partnering to deliver low impact cloud-computing Solutions Skymantle has developed a SaaS comparison engine that Broadridge has agreed to fund to market readiness. Skymantle is a Canadian Fintech, which specializes in Amazon Web Services cloud-based applications for the Canadian financial services market. Results – a low risk, low cost pathway to compliance The KYP tool is ideal from dealers who want to provide advisor compliance and product shelf compliance as a starting point to delivering Phase II CFR for December 31, 2021.

Skymantle Fig

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