Laserfiche Announces Laserfiche Vault, Solution Package to Support Broker Dealer Firms With SEC Compliance

2 min read

Laserfiche, the leading global provider of intelligent content management and business process automation, today announced the launch of Laserfiche Vault. Specifically designed for the financial services industry, Laserfiche Vault is a solution package of services and cloud-based features that provides a secure and accurate system of record to support broker-dealers in complying with SEC Rule 17a-f policies, including strict WORM (write once, read many) standards for retaining electronic records and FINRA audit requirements.

Laserfiche Vault offers the company’s proven automated records retention and audit reporting capabilities. For financial firms this includes the ability to enable a “strict compliance mode” which removes any overrides or bypasses that are traditionally reinforced through a magnetic WORM device. With strict compliance mode enabled, even users with administrator-level privileges will not be able to make modifications to a record’s content or perform any action that may shorten or bypass the initial retention schedule. Additionally, as part of Laserfiche Vault, financial firms can authorize Laserfiche to act as the designated third-party (D3P) to access content in the event of an audit.

Backed by industry-leading Amazon Web Services cloud security, Laserfiche Vault enables firms to move away from traditional on-premises hardware in order to optimize operational spend. Cloud storage offers agility and scalability for firms whose storage needs change quickly, as well as a centralized, virtual location to store records. This is especially helpful for firms spread across different geographic locations.

“For a highly regulated industry such as financial services, it is always a priority to have a document management system that enables necessary security and compliance functionality,” said Laserfiche Director of Strategic Marketing Linda Ding. “When regulatory requirements are not met, it can cost firms millions of dollars. Laserfiche Vault empowers financial firms with the confidence and peace of mind necessary in facing stringent compliance requirements, enabling firms to maintain focus on meeting client needs and growing their business.”

“Laserfiche Vault is fulfilling a clear need that has existed in the marketplace for some time – that is, addressing and complying with FINRA’s WORM compliance requirements,” said Joel Bruckenstein, founder and CEO of Technology Tools for Today (T3). “This breakthrough technology will enable broker-dealers to scale their businesses while freeing up important resources to focus more on their clients. But most importantly, it will allow them to navigate the ever-changing regulatory landscape with confidence and ease.”

Additionally, Laserfiche has been added as a listed vendor in the FINRA Compliance Vendor Directory.

Attendees of the T3 Enterprise Conference in Fort Lauderdale, Florida, can see a firsthand demonstration of Laserfiche Vault with Linda Ding during the “Laserfiche Super Session” taking place on Tuesday, Oct. 29 from 2:45-3:15 p.m. EDT. For additional information on Laserfiche Vault, please visit

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About Laserfiche

Laserfiche is the leading global provider of intelligent content management and business process automation. Through powerful workflows, electronic forms, document management and analytics, the Laserfiche® platform eliminates manual processes and automates repetitive tasks, accelerating how business gets done.

Laserfiche pioneered the paperless office with enterprise content management more than 30 years ago. Today, Laserfiche is innovating with cloud, machine learning and AI to enable organizations in more than 80 countries to transform into digital businesses. Customers in every industry—including government, education, financial services and manufacturing—use Laserfiche to boost productivity, scale their business and deliver digital-first customer experiences.

Laserfiche employees in offices around the world are committed to the company’s vision of empowering customers and inspiring people to reimagine how technology can transform lives.


FiComm Partners
Kathleen Hopkins

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