Transform Compliance into an
Opportunity for Process Improvements |
“Laserfiche has become an integral part of the B-D’s daily
workflow. With instant access to essential documents and
information, our staff now has the resources it needs to service
our reps efficiently and effectively.”
—Jim Alpern, Imaging System Administrator,
NFP Securities, Inc. |
Reconciling opposing necessities—facing
compliance and competitive pressures,
delivering fast service while safeguarding
customer privacy—is a prerequisite for success.
A comprehensive solution must establish
a clear line of sight from the CEO to the
transaction level, effectively managing the
flow of information across the divide
between field reps and corporate HQ.
Laserfiche® document management solutions
power a holistic approach to compliance and
record keeping, allowing not only greater
transparency and accountability, but also organization-wide efficiency that strengthens
your competitive stance. A straight-through processing foundation,
Laserfiche software streamlines information collection
and management, from document capture at the point
of creation to long-term records retention.
Field reps begin to realize profitability benefits immediately
upon deployment. They respond to client
information requests faster, simplify third-party storage
and enjoy smoother communications with the broker-
dealer. Simple reductions in paper storage and
office space overhead also contribute to a more robust
bottom line.
At the home office, the Laserfiche repository collects
records for centralized processing while providing
appropriate access to advisors. Comprehensive security
logs user activity and prevents unauthorized use of
client information. DoD-5015.2-certified records management
tools support the consistent application of
compliance procedures and extend controls to the
entire information lifecycle. |
Laserfiche Advantages Summary
- Accelerate transaction approvals by enabling straight-through
processing, distributed capture and other
business process improvements.
- Eliminate the costly physical transport of transaction
forms between financial advisors and the home office.
- Minimize the delays between steps in business
procedures with workflow solutions.
- Simplify compliance with SEC, NASD and other
mandates.
- Protect client and transaction records with comprehensive
security, including word-level redaction and
records freezing capabilities.
- Use audit trails to provide complete accountability
and transparency organization-wide.
- Accommodate your preferred business procedures
through an intuitive visual interface and integrations
with CRM and other business-critical applications.
- Provide financial advisors in the field with information
management tools to help them succeed.
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