Solution ExchangeState and Local GovernmentCompliance

How the NC Department of Environmental Quality Leverages Laserfiche to Improve Compliance

Laserfiche Solution Contributed By: Beverly Strickland, Laserfiche Administrator, Division of Water Resources, North Carolina Department of Environmental Quality The North Carolina Department of Environmental Quality is the state’s leading stewardship agency for the preservation and protection of natural resources and public health. Within the department, the Division of Water Resources works to ensure access to…

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ComplianceFinancial Services

How Tocqueville Asset Management L.P. Simplified Compliance with Laserfiche Forms

Laserfiche Solution Contributed by: Linda Schecter, Records Retention Officer, Tocqueville Asset Management Tocqueville Asset Management L.P. is an SEC Registered Investment Advisor that provides portfolio management services to high net-worth individuals, institutional clients and mutual funds. As a financial services firm, Tocqueville has to comply with SEC, FINRA and Sarbanes-Oxley compliance regulations, among others. One…

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Solution ExchangeComplianceFinancial Services

How Tocqueville Asset Management L.P. Simplified Compliance with Laserfiche Forms

Laserfiche Solution Contributed by: Linda Schecter, Records Retention Officer, Tocqueville Asset Management Tocqueville Asset Management L.P. is an SEC Registered Investment Advisor that provides portfolio management services to high net-worth individuals, institutional clients and mutual funds. As a financial services firm, Tocqueville has to comply with SEC, FINRA and Sarbanes-Oxley compliance regulations, among others. One…

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Solution ExchangeComplianceWealth Management

How Laserfiche Helps Semper Augustus Investments Ensure Regulatory Compliance

Laserfiche Solution Contributed By: Chad Christensen, Partner and Chief Compliance Officer, Semper Augustus Investments With 120 clients and $200 million in assets under management, Semper Augustus Investments must comply with several financial services regulations. Here is how the RIA uses Laserfiche Forms and Laserfiche Workflow to maintain compliance. Ensure a fair representation of investment results…

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Solution ExchangeCompliance

Simplify the Employee Policy Acknowledgment Process

Contributed by: Maggie Rogers, Solutions Engineer, Laserfiche Employees who work at Laser Funds, a financial services company, must abide by many company policies to comply with federal regulations. In most cases, each employee must review and approve these policies regularly—either annually or semi-annually. Laser Funds automated the policy acknowledgment process by integrating Laserfiche WebLink and…

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Solution ExchangeComplianceWealth Management

Integrate Laserfiche and Junxure with Advice from Wealth Enhancement Group LLC

Contributed by: Ken Severud, Senior Vice President |Chief Operating Officer, Wealth Enhancement Group LLC Wealth Enhancement Group LLC (WEG) operates in a dual-registration environment: as the parent company of registered investment advisor Wealth Enhancement Advisory Services, LLC. (WEAS) and as an Office of Supervisory Jurisdiction (OSJ) for the broker-dealer LPL Financial (LPL). The day-to-day operations…

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Solution ExchangeCompliance

Advanced Topics in Laserfiche Search

The Laserfiche Search Engine is a very powerful tool to help users find the documents they need during their day-to-day business processes. Most of the time, the large number of preset search types available in Laserfiche will be exactly what you need, but there are times when advanced search syntax is useful. Advanced Search Syntax…

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