Compliance Expert Headlines RIA Workshop Co-hosted by Laserfiche and Junxure
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LONG BEACH, CA and PALM BEACH GARDENS, FL (November 12, 2012)—Laserfiche and Junxure today announced that they are co-hosting a workshop titled “Staying Compliant and Competitive in the Post-Dodd-Frank World.” Held on Wednesday, November 28, in New York City, and Thursday, November 29, in Dallas, TX, the half-day workshop outlines how financial advisors can automate recordkeeping, facilitate audits and help compliance by integrating CRM with document management software.
Tom Giachetti, Chair of the Securities Practice Group at Stark & Stark, will open the workshop with a discussion of the legal and compliance issues advisors face today. A former investment banker and FINRA-registered representative, Giachetti’s legal practice is devoted to investment-related matters, including the representation of investment advisors, financial planners and registered representatives throughout the United States.
“As the SEC prepares to make new rules mandated by the Dodd-Frank bill, advisors must stay informed of all the impacts and ramifications to their business to ensure that they’re compliant,” said Giachetti. “These workshops provide an excellent opportunity to learn the latest best practices from both subject-matter and technology experts.”
Following Giachetti’s presentation, Greg Friedman, Co-founder and President of Junxure, and Laserfiche Senior Consultant Tim Welsh will join forces to demonstrate how integrating Laserfiche with Junxure streamlines operations, reduces compliance costs and mitigates risk.
“As an advisor, I see firsthand how technology integrations make a huge difference in my firm, particularly when it comes to simplifying and streamlining the compliance process,” said Friedman. “Join us to learn how combining two industry-leading solutions can boost your business to the next level.”
Since 1987, Laserfiche® has used its Run Smarter® philosophy to create simple and elegant enterprise content management (ECM) solutions. More than 32,000 organizations worldwide—including federal, state and local government agencies and Fortune 1000 companies—use Laserfiche software to streamline document, records and business process management.
The Laserfiche ECM system gives financial advisors the ability to simplify regulatory compliance, improve profitability and limit exposure to civil and criminal liability. It allows advisors to prepare for audits more easily and helps compliance with multiple state, SEC and FINRA regulations—all while accelerating business processes and making staff more efficient.
Junxure was established in 2001 by Ken Golding and Greg Friedman, MS, CFP®, a financial advisor who developed the initial Junxure software to help him streamline operations at his growing firm. Today, Friedman is both Junxure president and president of Private Ocean, one of the West Coast’s most innovative wealth management firms. The inspiration for Junxure consulting, training and software comes from Greg’s day-to-day experience running his practice and helping his clients achieve their personal financial goals. A recent Investment News survey revealed more advisors use Junxure than any other CRM.
Laserfiche®, Run Smarter® and Compulink® are registered trademarks of Compulink Management Center, Inc.