Financial Services Guide

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Financial Services Guide
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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.

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