FundApp

📊 All Funds

Comprehensive database of Canadian Mutual Funds, Segregated Funds, and RESP Funds

📈 Managed Funds

Funds managed internally by this system

Code	Name	Class	Base CCY	Manager	Holdings	Latest NAV	Actions

Fund	1M	3M	YTD	1Y	3Y Ann.	5Y Ann.	Sharpe	Volatility
Select a fund or load external funds data

⭐ Fund Watchlist

Track your favorite funds and monitor their performance

📊 Watched Funds

Fund Code	Fund Name	Type	Category	Current NAV	1M %	YTD %	1Y %	Actions

➕ Add Fund to Watchlist

Search Funds

Fund Type

💼 Portfolios

Manage model portfolios and fund allocations

Portfolios

🏢 Dealer Management

Add new dealers or manage existing ones

🏢 Dealer Enrollment Wizard

1

Basic Info

2

NRD Registration

3

Banking Info

4

Chief AFR

5

Review & Submit

Step 1: Basic Information

Dealer Number *

Dealer Name *

Legal Name

Business Type

Address

Phone

Email *

Step 2: NRD Registration Information

Business Registration Number

Registration Jurisdiction

Registration Date

NRD Enrollment Status

Step 3: Banking Information (NRD Form 3)

Bank Name

Account Holder Name

Account Number

Transit Number (5 digits)

Institution Number (3 digits)

Step 4: Chief Authorized Firm Representative

Select or create the Chief AFR for this dealer. This can be set later if the representative is not yet registered.

Chief AFR (Optional - can be set later) Note: Representatives must be created before assigning as Chief AFR

Step 5: Review & Submit

Review Dealer Information

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🏢 Dealers Directory

Dealer #	Name	Reps	Accounts	AUM	Monthly Sales	Status	Actions

📋 New Business Applications

Create and manage new account applications with approval workflow

➕ Create New Application

Start a new business application for a client

📊 Application Status

0

Draft

0

Pending Review

Applications List

Application #	Client Name	Account Type	Dealer	Representative	Status	Submitted	Actions

Dealer Details

Total Representatives

0

0 active

Client Accounts

0

Assets Under Management

$0

Monthly Sales

$0

Dealer Information

Dealer Number: -

Legal Name: -

Address: -

Phone: -

Email: -

NRD Status: -

Compliance Status: -

Last Activity: -

ID	Name	Email	Phone	Role	Registration Status	Expiry

Account #	Client Name	Email	Type	Assigned Rep	Status

6-Month Performance

Sales: $0

Redemptions: $0

Net Sales: $0

Key Metrics

Total AUM: $0

Active Representatives: 0

Total Accounts: 0

Marketing Profile

Marketing Tier

Preferred Communication Method

Marketing Contact Name

Marketing Contact Email

Campaign Participation (comma-separated campaign IDs)

Marketing Information

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➕ Quick Add Account

Account #

Dealer

Client Name

Email

Phone

Type

Risk Tolerance

Currency

👤 Client Accounts

Account #	Client	Contact	Type	Risk	KYC	Status	Actions

Client Name

Account #

Account Type

RRSP

Currency

CAD

Risk Tolerance

—

KYC Status

—

📧 Contact

—

👥 Assigned Representative

—

Loading holdings...

Loading notes...

Loading transactions...

Loading documents...

Loading disclosures...

Create Transaction

Account

Transaction Type

Fund

Units

Transaction Date

Reference Number

Transaction Actions

Transaction ID

💰 Transaction History

ID	Account	Type	Fund	Units	Amount	Status	Date	Actions

📈 Securities Master Database

Manage mutual funds, ETFs, stocks, bonds, and other securities

📤 Import Securities

Import Method

CSV File Required columns: symbol, name. Optional: security_type, fund_company, mer, etc.

Update existing securities if symbol matches

Data Source

🔍 Search & Filter

Search

Security Type

Asset Class

Status

📊 Securities List

0 securities

Symbol	Name	Type	Asset Class	Fund Company	MER %	Current Price	Status	Actions
Loading securities...

➕ Add Lead

First Name

Last Name

Email

Phone

Company

Source

Interest Level

Est. Value

🎯 Leads

Name	Contact	Company	Source	Interest	Est. Value	Status	Actions

📊 Sales Pipeline

🆕 New

📞 Contacted

✅ Qualified

📋 Proposal

🎉 Converted

➕ Add Marketing Material

Title

Type

📚 Marketing Materials Library

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✉️ New Communication

Type

Client Account

Subject

Content

📋 Communication Templates

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💬 Communication History

Date	Type	Direction	Client	Subject	Status	Actions

➕ Add Event

Title

Type

Date

Time

Client

Reminder

Recurring

📅 Calendar

January 2026

📋 Upcoming Events

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📊 Manufacturer Dashboard

Overview of dealer network, sales performance, and compliance status

Total Dealers

0

0 active

Total Representatives

0

Client Accounts

0

Total AUM

$0

Monthly Sales

$0

🏆 Top 10 Dealers by AUM

Rank	Dealer	Name	AUM	Accounts	Reps

📈 Top 10 Dealers by Sales

Rank	Dealer	Name	Monthly Sales	Net Sales (6M)

⚖️ Compliance Status by Dealer

Dealer	Name	NRD Status	Compliance Status	Active Reps	Total Accounts

📅 Recent Dealer Activity

Dealer	Name	Last Activity	Status

👥 User Management

Manage system users and role-based access control

➕ Create New User

Username

Email

Password

Role

First Name

Last Name

Phone

Linked Dealer (if Dealer role)

📋 Role Permissions Reference

Role	Can View	Can Create	Menu Access
CLIENT	Own account, transactions, documents, performance	None	Portal only
DEALER	Funds, accounts, transactions, holdings	Accounts, transactions	Funds, Dealers, Accounts, Transactions
PORTFOLIO_MANAGER	Funds, holdings, valuations, reports, compliance	Funds, holdings, valuations	Funds, Admin Funds, Valuations, Compliance
ACCOUNTING	Funds, transactions, valuations, reconciliation	Valuations, reconciliation	Funds, Transactions, Reports, Rule 3, Rule 5
AUDIT	All (read-only)	Audit reports only	Full access (view only)
SYSTEM_ADMIN	All	All	Full access

👤 System Users

Username	Name	Email	Role	Status	Last Login	Actions

Create Fund

Fund Code

Fund Name

Fund Class

Fund Objective

Risk Tolerance

Base Currency

Fund Manager

Trustee

Registrar

Support Team

Add Holding

Fund

Search Security

Selected Security

None selected

Exchange (optional)

Quantity

Avg Cost (optional)

Cost Currency

Fund Valuation

Select Fund

Add Fund Class

Code

Name

Description

Fund Classes

Code	Name	Description	Actions

Add Fund Objective

Code

Name

Description

Fund Objectives

Code	Name	Description	Actions

Add Risk Tolerance

Code

Name

Description

Risk Tolerances

Code	Name	Description	Actions

Add Fund Manager

ID

Name

Email

Phone

Fund Managers

ID	Name	Email	Phone	Status	Actions

Add Trustee

ID

Name

Address

Email

Phone

Trustees

ID	Name	Address	Email	Phone	Status	Actions

Add Registrar

ID

Name

Address

Email

Phone

Registrars

ID	Name	Address	Email	Phone	Status	Actions

Add Support Team

ID

Name

Email

Phone

Support Teams

ID	Name	Email	Phone	Status	Actions

📊 Custom Report Builder

Generate custom reports for dealers, sales, and performance analytics

📈 Dealer Performance Report

Select Dealer

Start Date (optional)

End Date (optional)

📋 Dealer List Report

Generate a comprehensive list of all dealers with statistics

💰 Sales Summary Report

Select Dealer (optional)

Start Date

End Date

📊 Advanced Analytics

Dealer Comparison

Select Dealers (comma-separated IDs)

Industry Trends

View industry-wide statistics and averages

📅 Scheduled Reports

Automate report generation and delivery

Create Scheduled Report

Report Name

Report Type

Frequency

Recipients (comma-separated emails)

Format

Active Scheduled Reports

Name	Type	Frequency	Format	Last Run	Next Run	Status	Actions
Loading scheduled reports...

📢 Marketing Campaigns

Manage marketing campaigns and track dealer participation

Create Campaign

Campaign Name

Campaign Type

Start Date

End Date

Budget ($)

Description

Active Campaigns

ID	Name	Type	Status	Start	End	Budget	Actions
Loading campaigns...

⚡ Bulk Operations

Perform bulk actions on dealers, representatives, and accounts

🏢 Dealer Bulk Operations

Dealer IDs (comma-separated)

👥 Representative Bulk Operations

Representative IDs (comma-separated)

💼 Account Bulk Assignment

Account IDs (comma-separated)

Assign to Representative ID

📊 Custom Report Builder

Entity Type

Select Fields

Filter: Active Only

Format

Limit

🔐 Data Access Policies

Manage user access to dealer data for data isolation

Create Access Policy

User ID

Entity Type

Access Level

Allowed Dealer IDs (comma-separated, leave empty for all)

Access Check

User ID

Entity Type

Dealer ID (optional)

Active Policies

ID	User ID	Entity Type	Access Level	Allowed Dealers	Actions
Loading access policies...

🔔 Notifications

System notifications and alerts

All Notifications

✅ Approval Workflow

Review and approve pending requests

Pending Approvals

ID	Entity Type	Entity ID	Change Type	Requested By	Requested At	Status	Actions

➕ Create Disclosure Template

Template Name

📋 Disclosure Templates

Name	Category	Trigger	Status	Actions

📨 Send Disclosure to Clients

Template

Client Account

Delivery Method

📊 Disclosure Status Report

Click refresh to load status...

Compliance Overview

📝

Registration & Qualifications

📋

Business Conduct

💰

Capital & Segregation

🛡️

Insurance

📚

Books & Records

📊 Compliance Status Summary

Select a dealer to view compliance status...

⚠️ Active Alerts

No active compliance alerts

📝 Business Structures and Qualifications

Dealer and Dealing Representative Registration, Training, Continuing Education, and Policy Manuals

👤 Dealing Representatives (Approved Persons)

Name	Dealer	Role	Registration #	Status	Agreement	Actions

📚 Policy Manuals

Full policy manual required for investment funds business compliant with all 5 rules

Manual Name	Version	Dealer	Effective Date	Rules Covered	Last Reviewed	Next Review Due	Status	Actions

📋 Regulatory Reporting (Rule 1.4)

Event Date	Category	Description	Type	Due Date	Submitted	Status	Actions

📝 NRD Enrollment Forms

National Registration Database (NRD) enrollment is required for all dealer registrations. Complete and submit three forms: Form 1 (Firm Filer), Form 2 (Chief AFR), and Form 3 (Account Authorization). View official forms and instructions

Enrollment Status

Status

—

NRD Number

—

Enrollment Date

—

Confirmed Date

—

Dealer Information for NRD Forms

Legal Name (for NRD)

Business Type

Business Registration Number

Registration Jurisdiction

Registration Date

Chief AFR

Banking Information (Required for Form 3)

Financial Institution Name

Account Holder Name

Account Number

Branch Transit Number (5 digits)

Institution Number (3 digits)

⚠️ Important: All five digits of the Branch Transit Number must be indicated. You must attach a void cheque or provide pre-authorized debit information with Form 3.

Generate NRD Enrollment Forms

📄

NRD Form 1

Enrollment of Firm Filer

👤

NRD Form 2

Enrollment of Chief AFR

🏦

NRD Form 3

Account Holder Authorization

📋 Submission Instructions

Review and complete all three forms with any missing information
Print all forms on paper (original signed hardcopy required)
Attach required documents:
- True copy of certificate of incorporation or business registration document
- Void cheque or pre-authorized debit information
Mail to: ALBERTA SECURITIES COMMISSION, c/o CSA Service Desk, Attention: NRD Administrator, 12 Millennium Blvd, Suite 210, Moncton, NB E1C 0M3
For questions: nrd@csa-acvm.ca or 1-800-219-5381

📦 Submission Tracking

Form	Status	Generated	Signed	Submitted	Tracking #	Confirmed	Actions
Loading submissions...

📝

Select a dealer above to view and manage NRD enrollment

📋 Business Conduct

KYC, KYP, Suitability, Conflicts of Interest, Complaints, and Supervision

👤 Know Your Client (KYC) - Rule 2.2.1

Account

Review Type

Approved Person

Personal Circumstances Financial Circumstances Investment Needs Investment Knowledge Risk Profile Time Horizon Trusted Contact Obtained

⚠️ Reviews Due/Overdue

Account	Last Review	Due Date	Days Overdue	Action

📞 Trusted Contacts - Rule 2.2.1(1)(c)

Account

Name

Relationship

Phone

Financial Exploitation Concerns Mental Capacity Concerns Legal Representative Info Client Contact Info

📦 Know Your Product (KYP) - Rule 2.2.5

Product Name

Type

Issuer

Risk Rating

Suitable For (comma-sep)

Min Time Horizon

Approved By

Product	Type	Issuer	Risk	Suitable For	Approved	Next Review	Actions

✅ Suitability Determinations - Rule 2.2.6

Account

Type

Approved Person

Product (if applicable)

Action

Amount

Is Suitable Puts Client First Client Override (2.2.6(2.2))

Rationale

⚠️ Conflicts of Interest - Rule 2.1.4

Dealer

Conflict Type

Source

Resolution

Nature of Conflict (2.1.4(1)(e)(i))

Potential Impact (2.1.4(1)(e)(ii))

Risk to Client (2.1.4(1)(e)(ii))

Resolution Details (2.1.4(1)(e)(iii))

Date	Dealer	Type	Resolution	Disclosed	Status	Actions

📝 Complaints - Rule 2.11

Dealer

Complainant Name

🛑 Temporary Holds - Rule 2.2.8

For vulnerable clients - financial exploitation or mental capacity concerns

Account

Hold Type

Transaction Type

Amount

Reasons for Hold (2.2.8(3)(a))

Account	Date	Type	Transaction	Client Notified	30-Day Notices	Status	Actions

👁️ Supervision Records - Rule 2.5.7

Dealer

Record Type

Supervisor

Role

Description

Non-Compliance Found Action Required

Date	Type	Supervisor	Role	Description	Non-Compliance

💰 Capital, Margin & Segregation

Financial requirements, early warning, and client property protection

📊 Capital Level Report (Rule 3.1.1)

Dealer

Capital Level

Total Capital

Risk Adjusted Capital

Early Warning Excess

Fin. Statement Capital

📈 Current Capital Status

Select dealer and click refresh...

🔒 Segregation Report (Rule 3.3)

Dealer

Total Client Cash

Cash in Trust

Trust Institution

🔐 Segregation Status

No segregation data...

⚠️ Early Warning Designations (Rule 3.4)

Triggers: RAC < 0 (Capital) | EW Excess < 0 (Liquidity) | RAC < Quarterly Loss (Profitability) | >2 in 12 months (Frequency)

Dealer	Date	Trigger	RAC	Status	Notifications	Actions

📋 Regulatory Filings (Rule 3.5)

Dealer

Filing Type

Period End

No pending filings...

🛡️ Insurance Coverage (Rule 4)

Dealer

Type

Coverage $

No insurance records...

📄 Generate Audit Systems Report

Comprehensive report for regulatory audit covering Rules 3, 4, and 5

Dealer

🔍 Audit Reports & Systems

Rule 3.6 Audit Requirements - 7 Year Retention

📝 Record New Audit

Dealer

Audit Date

Fiscal Year End

Auditor Firm

Engagement Partner

Opinion

Material breaches found (Rule 3.6.6 - requires Corporation report)

📚 Audit History

Dealer	Audit Date	Fiscal Year	Auditor	Opinion	Breaches	Retention Until

📊 Generate Full Systems Report

Comprehensive compliance report for regulatory audit covering all rules.

Dealer

🛡️ Insurance

Fidelity bonds, E&O, and other required insurance coverage

➕ Add Insurance Coverage

Dealer

Coverage Type

Policy Number

Insurer

Coverage Amount

Deductible

Effective Date

Expiry Date

📋 Insurance Coverage Summary

Dealer	Type	Policy #	Insurer	Coverage	Expiry	Status

⚖️ Compliance Dashboard

Books, Records and Reporting - Automated compliance management

📋 Rule 5.1 - Daily Blotter

Itemized daily record of all transactions

Date

Entry Type

Account

Security

Quantity

Total Value

📝 Rule 5.1(b) - Order Records

Record of each order and instruction

Click refresh to load orders...

📄 Rule 5.3.1 - Account Statements

Quarterly statements (minimum every 3 months)

Account

Period Start

Period End

Select account and generate statement per Rule 5.3.2

💰 Rule 5.3.3 - Charges Report

Annual report on charges and compensation

Account

Year

Includes: Operating charges, Transaction charges, Trailing commissions, Fund expenses

📈 Rule 5.3.4 - Performance Report

Annual performance report with money-weighted returns

Account

Shows: 1, 3, 5, 10 year returns and since inception

✅ Rule 5.4 - Trade Confirmations

Prompt confirmation of all trades

All confirmations up to date

📚 Compliance Records (7-Year Retention - Rule 5.6)

Type	Account	Description	Rule Ref	Status	Retention Until	Created

🔍 Audit Trail (Rule 5.5)

Timestamp	Action	Entity	User	Description

📊 All Funds

📈 Managed Funds

🌐 External Funds - FundGrade A List

🏆 A-Rated Funds

📊 Fund Manufacturers

📡 FundSERV Transactions

➕ Create FundSERV Order

📋 Transaction History

📄 XML Preview

📊 Fund Performance Dashboard

📈 Performance by Fund

📊 Performance Chart

⚖️ Fund Comparison Tool

Select Funds to Compare

📊 Comparison Results

⭐ Fund Watchlist

📊 Watched Funds

➕ Add Fund to Watchlist

💼 Portfolios

Portfolios

Portfolio Details

➕ Add Fund to Portfolio

🏢 Dealer Management

Quick Add Dealer

🏢 Dealer Enrollment Wizard

Step 1: Basic Information

Step 2: NRD Registration Information

Step 3: Banking Information (NRD Form 3)

Step 4: Chief Authorized Firm Representative

Step 5: Review & Submit

Review Dealer Information

🏢 Dealers Directory

📋 New Business Applications

➕ Create New Application

📊 Application Status

Applications List

Dealer Details

Total Representatives

Client Accounts

Assets Under Management

Monthly Sales

Dealer Information

6-Month Performance

Key Metrics

Marketing Profile

Marketing Information

➕ Quick Add Account

👤 Client Accounts

Client Name

📧 Contact

👥 Assigned Representative

Create Transaction

Transaction Actions

💰 Transaction History

📈 Securities Master Database

📤 Import Securities

🔍 Search & Filter

📊 Securities List

➕ Add Lead

🎯 Leads

📊 Sales Pipeline

🆕 New

📞 Contacted

✅ Qualified

📋 Proposal

🎉 Converted

➕ Add Marketing Material

📚 Marketing Materials Library

✉️ New Communication

📋 Communication Templates

💬 Communication History

➕ Add Event

📅 Calendar

📋 Upcoming Events

📊 Manufacturer Dashboard

Total Dealers

Total Representatives

Client Accounts

Total AUM