Financial Services

dollar-iconFinancial Services


• Choose An Option Below For More Information


icon Promote Efficient Processes

icon Minimize Paper-Handling Overhead

icon Increase Representative Recruitment and Retention

icon Reduce the Costs of Compliance

icon Simplify Business Continuity Planning

icon Cost-Effectively Deploy Enterprise-Wide

icon Simplify Administration

icon Integrate With Existing Applications


iconPromote Efficient Processes

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.

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iconMinimize Paper-Handling Overhead

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.

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iconIncrease Representative Recruitment and Retention

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.

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iconReduce the Costs of Compliance

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.

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iconSimplify Business Continuity Planning

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

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iconCost-Effectively Deploy Enterprise-Wide

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.

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iconSimplify Administration

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.

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iconIntegrate With Existing Applications

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.


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