Independent Broker-Dealers

Laserfiche enterprise content management solutions support business process management improvements, helping you realize a competitive advantage by speeding operations, reducing paper-related overhead and improving representative recruitment and retention. The result? A leaner, more agile organization more free to focus on revenue-generating activities. Laserfiche also promotes transparency and accountability enterprise-wide, facilitating risk management and limiting exposure to civil and criminal liability.

• Accelerate transaction approvals and minimize delay with workflow automation, distributed capture and other business process optimizations.
• Eliminate the costs of faxing and mailing applications, order tickets and transaction forms.
• Use audit trails to provide complete accountability and transparency enterprise-wide.
• Integrate documents with your CRM system and other business-critical applications.

Your ability to reconcile the costs of compliance with competitive pressures can mean the difference between succeeding and merely surviving. A comprehensive solution must establish a clear line of sight from the CEO all the way to the transaction level, while effectively managing the flow of information across the divide between field representatives and the home office.

Laserfiche gives you the tools you need to combat inefficiency and expense enterprise-wide.

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Promote Efficient Processes

Laserfiche helps you eliminate the time lags and redundancies of manual transaction processing.

• Provide authorized users in the home office, branch offices and the field with instant access to client forms and records.
• Ensure seamless transaction processing, reduce the costs of managing information and improve 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.

Minimize Paper-Handling Overhead

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.
• Capture, secure and centralize all representative information—from e-mails to test results and handwritten applications—to quickly identify the best candidates.
• Easily segregate Investment Advisor Representative Records if your Broker-Dealer is also a Registered Investment Advisor.
• Enable remote audits and reduce the amount of time spent fulfilling requests from outside auditors.

Increase Representative Recruitment and Retention

With Laserfiche, you give your 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.

Reduce the Costs of Compliance

Laserfiche simplifies the burden of complying with increasingly stringent multi-regulatory rules and retention requirements—so you gain efficiency, improve profitability and increase transactional oversight.

• 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 and expedite on-site audits by producing records on demand.

Laserfiche’s open architecture speeds integration with your existing applications—while programming tools and pre-packaged modules limit costs and minimize burden on IT staff.

• Promote image-enabling integration with Goldmine, Junxure, Advisors Assistant, Laser App, Quik! and other practice management, CRM and portfolio management applications.
• 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.
• Speed integration with pre-built, customized modules, including integrations, configurations, plug-ins and Web tools, from the Laserfiche Marketplace.