Financial Group Case Study

The ECM Paradox

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Financial Advantage

Increasing revenue while operating in a multi-regulatory environment is a concern for all financial services firms. Paper-based processes complicate workflow and cut into profits, while proliferating customer files and compliance demands can compromise efficiency—and customer service. Cost-effective, rapidly-deployed Laserfiche solutions help you maximize efficiency, improve productivity and increase profitability, all while reducing the cost of compliance.

Laserfiche Document Management
Solutions can help you

  • Enforce enterprise-wide record policies
  • Safeguard records with comprehensive access controls
  • Support compliance with Sarbanes-Oxley, SEC, FINRA and other regulations
  • Automate life cycle management from document creation to final disposition
  • Log all system activity, providing an audit trail that can be used to prove adherence to your record management plan, and compliance regulations

Financial Leverage

Increased Business Value and Profitability

  • Attract, retain and support top advisors with powerful technology
  • Simplify business transfer and succession planning with easily-transferable client records
  • Gain a competitive edge with lower costs and faster client service
Simplify and lower the costs of compliance
  • Publish time-dated records to unalterable media
  • Establish, maintain and demonstrate compliance with regulations such as SEC and FINRA rules, Sarbanes-Oxley and the USA PATRIOT Act
  • Consistently monitor document access and retrievals through Laserfiche Audit Trailâ„¢


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