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Document Management for Financial Services

Document Management Software for Financial Services

How fiancial service providers ensure their records adhere to strict document security regulations while being quickly accessible by staff with the proper credentials.

March 17, 2020

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The financial services industry has always been a unique sector when it came to document management. On a regular, if not daily, basis, the financial world is experiencing changes like never before. Successful financial services firms must be extremely vigilant when it comes to maintaining its customer records and documents.

DocuXplorer, which offers full compliance with Sarbanes-Oxley, SEC, FINRA and other financial services regulations pertaining to electronic document management, is the industry leader for firms looking to store their documents – both paper and electronic (including emails).

Our built-in workflow allows documents to move efficiently throughout the organization and our audit trail allows you to see who’s viewed, modified, moved or altered your documents. DocuXplorer provides a one-stop repository for the complete document management needs of a financial services firm – whether you need to keep track of client stock transactions, loan records or just managing your internal human resources documentation.

For well over a decade, DocuXplorer has helped leading financial services companies (including banks, investment firms, real estate brokers, and credit unions) organize their client records in a user-friendly software application that is very intuitive and easy-to-use, but robust enough to ensure compliance with governmental regulations and laws.

DocuXplorer helps financial professionals:

  • Store any type of client record – paper, electronic or email – including financial transactions, QuickBooks entries, loan applications and more.
  • Quickly and easily find that one particular document using either a keyword search or performing a more thorough search using index set fields.
  • Increase productivity of financial advisors by allowing them to focus on their core competencies rather than worrying about keeping track of a paper trail of documents.
  • Ensure your firm is compliant with Sarbanes Oxley and SEC requirements related to the security of your documents.
  • Allow advisors to retrieve client specific documents from a client site, using our built-in secure Web client.

DocuXplorer is the ideal solution for financial services firms looking to go paperless while, at the same time, ensuring compliance with industry rules and regulations. On top of it, DocuXplorer is affordable and available in both a on-premises server and web-based environment.