Docupace compliance solutions meet and/or exceed the specified Patriot Act and SEC/FINRA regulations by building in compliance across all relevant processes and all forms of communication (communication media and channels) for your firm while streamlining the processing and improving the productivity associated with compliance processing.

Financial Services firms that rely on Docupace Mobile Workflow Platform are exceeding minimum requirements and raising the bar in terms of “best efforts” to establish processes, policies and procedures that mitigate the risk of non-compliance.

The business impact to Financial Services firm who have deployed Docupace compliance solutions include:

• Ensure comprehensive Patriot Act and SEC/FINRA compliance for all communications
• Secure the lowest total cost of compliance
• Easily satisfy and demonstrate compliance with Patriot Act Section 326, SEC based scan capture of documents and correspondence from geographically dispersed field offices
• Avoid the fines, lawsuits, unsavory press and potential damage to client relationships associated with non-compliance
• Improve the individual productivity of compliance officers, back-office and mid-office employees
• Increase the operational and processing capacity