Document Management Overview Guide

In a paper-intensive environment, how do you maintain productivity, manage costs and overcome the continual compliance challenge?

The answer is digital document management.

• Reduce the storage burden of complying with record-keeping regulations such as SEC Rules 17a-3 and 17a-4, FINRA rules 3010 and 3020, Sarbanes- Oxley and the USA PATRIOT Act.

• Publish time-dated records to unalterable media, a key element of SEC record-keeping rules.

• Constantly monitor document access and retrieval with audit trail features.

• Comply with SEC and FINRA document retention and destruction regulations.

• Ease compliance with business continuity directives.

• Expedite audits by easily and quickly producing records on demand.

• Safeguard client privacy and inspire customer confidence.