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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.

 
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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.

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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.

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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.