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Laserﬁche enables broker-dealers to eliminate the time lags and redundancies of manual transaction processing. Authorized users in the home ofﬁce, branch offices and the ﬁeld have instant access to client forms and records, ensuring seamless transaction processing, reducing the costs of managing information and improving collaboration.
• Utilize workﬂow technology to automate suitability approval and exception processing.
• Log all activities, including electronic transfers, and update electronic blotters.
• Extract data to automatically update your back ofﬁce systems.
• Retain ultimate global control over document ﬁling, retention and disposition, while providing ﬁeld ofﬁces with ﬂexibility to customize their ﬁling structure and workﬂows.
A thriving broker-dealer generates ﬁling cabinets full of paper, which consume staff time to manage and ofﬁce space to store. Laserﬁche solutions reduce the costs of paper-based, manual business processes from the Operations Department to the Compliance Ofﬁce.
• Capture forms and documentation at the point of creation, eliminating the need to duplicate paper documents and fax or mail them to the home ofﬁce for processing.
• Complete transaction validations and approvals, generate order tickets and submit transactions, and issue conﬁrmations and statements electronically.
• Enable remote audits and reduce the amount of time spent fulﬁlling requests from outside auditors.
When choosing business partners, ﬁnancial advisors consider how well broker-dealer organizations help them succeed. With Laserﬁche, broker-dealers give their ﬁnancial advisors the tools to accelerate business processes, simplify regulatory compliance and build a loyal client base—while increasing proﬁtability almost instantaneously.
• Onboard new branch ofﬁces quickly, without installing additional software.
• Extend the operational beneﬁts of automated business processes throughout your ﬁnancial advisor network.
• Help advisors reduce their operating expenses—including rent, stafﬁng and storage costs—and focus on revenue-generating activities.
Multiplying compliance and regulatory demands increase operating costs in an increasingly competitive industry. Inefﬁcient, expensive paper-based compliance policies and procedures cut into profits and bottleneck workﬂow, while the rising cost of compliance is making business more complicated for broker-dealers seeking to increase proﬁts and remain competitive.
Laserﬁche gives broker-dealers the capability to simplify the burden of complying with increasingly stringent multi-regulatory rules and retention requirements—so you gain efﬁciency, improve proﬁtability and increase oversight over transactions.
• Use DoD 5015.2-certiﬁed records management functionality to automate records life cycle management in compliance with SEC records retention requirements.
• Set records in time by publishing them to unalterable media, in compliance with SEC record-keeping rules.
• Monitor all user activity in your Laserﬁche system to provide transparency and accountability throughout your enterprise.
• Enable off-site audits or expedite on-site audits by producing records on demand.
Ensure the long-term accessibility of critical information and simplify compliance with SEC and FINRA business continuity regulations, without the costs of photocopying, transporting and storing backup ﬁles.
With Laserﬁche Plus portable media publishing, you use back-up data volumes to reconstruct damaged or destroyed information repositories, while providing immediate access—even while other network resources remain ofﬂine.
• Bundle together and publish any portion of a Laserﬁche repository into its own fully self-contained repository, which can reside on any portable media.
• Provide no-disk-required access to your information from PCs and laptops.
• Publish information to CD/DVDs, portable hard drives or USB drives complete with integrated search and viewing capabilities.
• Save your published repository as ISO image ﬁles and use your own CD/DVD burning program to burn multiple copies of your published repository
Laserﬁche solutions are designed to deploy in days to achieve a rapid return on your investment, and offer the ﬂexibility to design the ideal solution for your organization’s processes.
Independent broker-dealers with multiple ﬁeld and branch ofﬁces will appreciate the ﬂexibility of Laserﬁche Rio, a turnkey solution designed to meet enterprise requirements. Named-user licensing simpliﬁes purchasing—just count the number of users you’ll need—while volume discounts make enterprise content management affordable.
The Rio system includes:
• Enterprise content management with integrated DoD 5015.2-certiﬁed records management functionality.
• Both Windows® and Web-based interfaces.
• Integrated business process management with an intuitive, graphical interface for testing, modifying and supporting workﬂow activities.
• Audit trail surveillance of user actions.
• High-volume document capture and processing.
• Unlimited servers to support multiple conﬁgurations, including satellite ofﬁces, server clustering, failover and testing environments, and separate servers for data segregation.
Laserﬁche systems use Microsoft®-standard administration tools almost exclusively, including MMC snap-ins, WMI compatibility and Windows-integrated error logging and tracing, ensuring that our software complies with standards that make it widely interoperable, extensible and easy to administer.
You can choose to conﬁgure your system yourself or work with one of our experienced ECM consultants—to ﬁt the needs and resources of any organization.
• Manage all the components of a Laserﬁche repository—ﬁelds, templates, users, groups and volumes, among others—through an easy-to-use graphical interface.
• Balance workﬂow load and volume distribution across servers to ensure peak availability.
• Support both Microsoft and Oracle® database platforms to maximize the value of your current IT investments.
Laserﬁche’s open architecture speeds image-enabling your existing applications—while programming tools and pre-packaged modules limit costs and minimize burden on IT staff. Laserﬁche is built with a highly ﬂexible COM-based API, so Websites, scripts, Windows applications or anything else built using COM, including all .NET languages, can easily communicate with the Laserﬁche Server.
• Retrieve information from back-ofﬁce systems to automatically populate template ﬁelds, validate data entry and check metadata capture.
• Trigger Workﬂow activities from third-party applications like your CRM application, practice management software or other back ofﬁce systems.
• Provide Laserﬁche ECM capabilities from Web portals, including Microsoft SharePoint® sites, to improve information organization and access enterprise-wide.