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Financial Firms: Features

Innovative Information Management Solutions For Financial Services Firms

Advisors, Agents, Broker-Dealers

Whether hosted on internal servers or in a secure, private cloud, our financial services document management software is ideal for financial advisors, broker-dealers, and independent agents.

Meet Rules And Regulations

•  Meets SEC Rule 17a-4(f) requirements for the creation and preservation of security transactions
•  Facilitates back-up to non-erasable WORM (Write Once, Read Many) format
•  Enables the ready retrieval of records for inspection by regulatory agencies
•  Organizes and indexes all records through system templates
•  Permits backup of all records to separate disk or other media for off-site storage

SEC And FINRA Approved

Our financial services document management solution is engineered to help financial advisors streamline office procedures and meet strict SEC and FINRA compliance requirements.

Financial Firms: Features
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Compliance And Governance
Reduce Your Risk

With our secure private hosted CLOUD solution complying with SEC and FINRA requirements becomes much easier.

People Working in Open Office

Integrated Secure File Sharing Software Solutions

With our secure SHARE solution users and outside contacts can each upload documents to a password-protected SHARE account, from which either can access and manage the files via a standard web browser.

Startup Development Team

Systems Integration Utilities And Software Solutions

We create utilities and applications to share information between disparate systems with a robust suite of integration tools and optional modules that makes custom integration and data sharing a matter of simple configuration, rather than a lengthy coding process.

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