Straight-through processing solutions that meet the highest levels of compliance and security
Security
Making Your Best Effort…Only Docupace Gives You the Security and Compliance Backup to Meet Regulations
A flexible hierarchical security model ensures that access can be configured by groups, roles or users. Security for specific filing cabinets, indexing fields, document types and even notes can be configured to be viewable by one set of users and not by another.
- Security for specific filing cabinets, indexing fields, document types by groups, roles, and/or users.
- Searchable notes are audit ready and configurable based on your firm’s operational and compliance needs.
- ePACS security for principal supervision can accommodate your most complex requirements.
Compliance
Docupace Infrastructure
Docupace is SEC and FINRA compliant for books and record keeping, supervision, disaster recovery and electronic signatures.
- Docupace serves as an SEC Third Party Download provider for more than 200 firms across the U.S; representations and warranties for eSIGN, SEC, and FINRA all come from one company.
- Centralized compliance and auditing functions offer your compliance staff a 360-degree view of all documents across the entire organization.
- Branch audits can be done from the home office, saving you time and money.
- Docupace provides every client with audit support.