Hundreds of leading independent broker-dealers count on Laserfiche document management systems to create a user-friendly, standardized system for managing client information, company records, correspondence—even e-mail—in a way that’s convenient, comprehensive and compliant.

Laserfiche provides both departmental flexibility and enterprise control, extending flexibility over filing, repository design and workflow to individual departments and offices, while still enabling IT to set and maintain top-level standards. That’s why broker-dealers choose Laserfiche document management solutions to support business process management improvements—saving them time and money while reducing security risks.

Automatically Onboard New Accounts

Laserfiche integrates with CRM applications, forms filling software, and e-signature applications to streamline the new account opening process.

  • Capture all documentation, including paper, faxes, email and web content, at the point of creation, eliminating the need to duplicate paper documents and fax or mail them to the home office for processing.
  • Integrate with your CRM and forms filling software to reduce data entry and NIGO forms.
  • Route new business to OSJ managers for approval and notify them that an application is pending review.
  • Validate information for compliance and submit electronic signatures.
  • Automatically route approved new account packages to the home office for processing.

Case Study

Transamerica Financial Advisors

Laserfiche serves as the foundation of TFA’s technology-centered business platform solution, which offers automated new account processing, Web-based document management and automated compliance review

Automate Transaction Processing, Suitability Approval and Exception Processing

Laserfiche completes transaction validations and approvals, generates order tickets, submits transactions and issues confirmations and statements electronically.

  • Log all activities, including electronic transfers, and update electronic blotters.
  • Redirect documents to appropriate on-duty personnel if anyone in the workflow is unavailable.
  • Resend rejected applications and orders from the home office to OSJ managers with annotations identifying missing information.
  • Enable OSJ managers to easily correct and resubmit applications, where they are routed to appropriate home office personnel for re-approval.

Solution Exchange

How Piedmont Trust Company uses Laserfiche in Day-to-Day Operations

Edward Wright, Managing Director at Piedmont Trust Company, describes how the company incorporated Laserfiche into its transaction approval process.

Automate E-mail Surveillance and Archival

Laserfiche saves compliance staff time by automating time-consuming manual e-mail surveillance.

  • Automatically send e-mails and attachments from your e-mail server directly to the Laserfiche content repository for long-term archival.
  • Flag e-mails with a high ratio of suspect terms for compliance department review.
  • Generate reports that clearly illustrate the identity of the reviewer, what communication they reviewed, the date of review and whether the review was forwarded on for further examination.

Case Study

Full Speed Ahead

Simplifying compliance with automated e-mail archival and digital order processing

Accelerate Audits while Reducing Compliance Costs

Laserfiche automates information life cycle management in compliance with SEC and FINRA records retention requirements.

  • Automatically capture, secure and retain all representative information from e-mails to test results and handwritten applications.
  • Easily segregate Investment Advisor and Representative records if you are dually registered.
  • Enable remote audits and reduce the amount of time spent fulfilling requests from outside auditors.
  • Establish secure, centralized control over document filing, retention and disposition, while providing field offices with flexibility to customize their filing structure and workflows.

Case Study

Shareholders Service Group

A Broker-Dealer with an ECM Foundation for Dedicated Service—and Growth

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