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Docupace Financial Services
The Docupace Difference

 

The Docupace Mobile Ready Platform for Financial Advisors provides Financial Services firms with comprehensive, extensible and cost effective compliance solutions that meet the business, financial and regulatory requirements of both your business and regulatory agencies.

Comprehensive
  • Compliance is enforced within processes
  • Multi-channel for uniform compliance of all communication types or processing
  • Single point of management and measurement for all regulatory and internal policies
Cost Effective
  • Addresses processing and productivity cost leaks by enforcing compliance through streamlined, automated processing
  • Can be deployed and managed remotely, centrally, or hosted
Extensible
  • Process steps, approvals, document interactions and retention can all be managed by business users
  • New processes can be introduced
  • Regulatory and corporate policies are managed by externalized rules
  • Role-based workspaces can be tailored or extended as needed

Secure

Docupace Compliance Process Backbone provides role-based, solution-level security that augments and leverages a customer’s existing security system and policies. Security includes but is not limited to:
  • Prevention of unauthorized access to the system
  • Restriction of certain operators and certain workstations in the types of activities performed and the particular system functions accessible
  • Single Sign On with individual user ID / password
  • System Administrator ability to set up partitions for sensitive information to restrict access to particular records or types of records 
 

Deployed as a Managed Service

In order to meet the business and financial requirements of our customers, Docupace compliance solutions can be deployed as a premise based solution or as a managed service hosted in our state-of-the-art data center. Deployment as a managed service can mitigate the time and risks of deploying a premise based compliance solution while ensuring all regulatory and business requirements are met.          
  • Lowest total cost of ownership: WAN-accessible service for existing and future departments or locations
  • No capital outlay
  • Known cost of service
  • Secure SEC-registered compliance system
  • Fault-tolerant, single-point of auditing & reporting registered as third-party download provider with SEC
  • Combines the hardware, software, processes and archive required for a secure, fully compliant service
  • Allows financial services firms to focus on their core business
  • Compliance offers no competitive advantageCompliance is not the core business focus of a firm but it is a necessity for a firm to do business
Technical Benefits
  • Lowest implementation risk and rapid deployment
  • Provides a scalable compliance solution supporting future growth and unforeseen needs
  • Mitigates the risk of technological obsolescence
  • High performance for access anytime and anywhere
  • Speed to value: shortened cycle times for adding new processes
  • Provides 24/7 support with guaranteed service levels, lifetime upgrades and the expertise of Docupace application operations specialists