Straight Through Processing: Broker-dealers | Foolproof Security | Validation Rules | DoD 5015.2-certified Records Management

Independent broker-dealers face the challenge of finding new ways to thrive in an ever more complex operational environment. With spiraling costs, increasing regulation and intense competitive pressures, the need for simplified, speedier business processes is imperative.

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.

The Laserfiche Advantage

Comprehensive capture. Capture information from a wide variety of media (paper, e-forms, electronic documents, etc.) and software applications. Laserfiche supports distributed capture.
Batch processing. Automatically and centrally extract data from a large number of forms, eliminating the need for manual indexing, sorting and filing.
Foolproof security. Prevent unauthorized access to confidential client and transaction information with role-based security features.
Validation rules. Ensure compliance and consistency when collecting client data.
Intelligent routing and notification. Accelerate transaction approvals and minimize delays by automatically routing information between branch managers and field reps, alerting them to new tasks with automatic e-mails.
Remote access. Grant field reps offsite access to content stored in the Laserfiche repository, enabling them to access and upload additional information while in the field.
DoD 5015.2-certified records management. Automate records life cycle management in compliance with regulatory requirements.
Comprehensive audit trails. Monitor and record all of the activities that occur in the repository to provide complete accountability and transparency enterprise-wide.
Easy integration with existing applications. Link into your CRM system, practice management software and other back-office systems to facilitate data exchange.

Build a Foundation for End-to-End Information Management

Content Creation and Capture

Generate necessary forms from electronic forms library and populate them with information from the CRM application.
Validate information for compliance and submit electronic form signatures.
Capture all additional documentation, including paper, faxes, e-mail and Web content, and convert it to a standardized format for long-term retention.
Validate information for compliance and submit electronic form signatures.

Field Office System

Find information faster and respond to client requests quickly.
Provide appropriate documents and data to customers immediately via e-mail.
Eliminate the need to store physical records through archival to non-volatile media (SEC 17a-3 and 17a-4).
Enable the display of information in context via a fully integrated system and dashboard interface.

Home Office System

Complete transaction validations and approvals electronically.
Generate order tickets and submit transactions electronically.
Log all activities, including electronic transfers, and update electronic blotter.
Enable remote audits and reduce the amount of time spent fulfilling requests from outside auditors.

Additional Resources

Brochures

Laserfiche Records Management Edition

Streamline enterprise records management

Quick Fields 8

Extract value from your information

White Papers

Trend Report - The Rise of Composite Applications Among RIAs and Broker-Dealers

Agility and the Rise of Composite Applications Among RIAs and Broker-Dealers

RIA Case Study: Rehmann Financial

“We’ve grown by merging with small firms, and one of the things that sells us is that we have these great business processes in place,” says Operations Manager Amy Flourry. “We’ve seen other firms and we’re a step ahead of the game.”

Straight Through to the Green

How ECM solutions help independent broker-dealers thrive in a competitive environment

Data Sheets

Audit Trail 8

Manage risk and reduce compliance costs

Case Studies

Spire Investment Partners, LLC

Spire Investment Partners, LLC, relies on Laserfiche to automate critical business processes and simplify the cost of compliance

Content Creation and Capture		Generate necessary forms from electronic forms library and populate them with information from the CRM application. Validate information for compliance and submit electronic form signatures. Capture all additional documentation, including paper, faxes, e-mail and Web content, and convert it to a standardized format for long-term retention. Validate information for compliance and submit electronic form signatures.
Field Office System		Find information faster and respond to client requests quickly. Provide appropriate documents and data to customers immediately via e-mail. Eliminate the need to store physical records through archival to non-volatile media (SEC 17a-3 and 17a-4). Enable the display of information in context via a fully integrated system and dashboard interface.
Home Office System		Complete transaction validations and approvals electronically. Generate order tickets and submit transactions electronically. Log all activities, including electronic transfers, and update electronic blotter. Enable remote audits and reduce the amount of time spent fulfilling requests from outside auditors.

Straight-Through Processing