Document management in the wealth management industry is a challenge. Going paperless is a must, but most cloud-based solutions don’t integrate with financial services software and could leave you open to SEC and FINRA compliance issues.

Docupace uses government-grade encryption to help you maintain security and compliance. With Docupace, you can consolidate all of your firm’s books and records — physical and digital — in order to manage files quickly and confidently.

• Untether yourself from filing cabinets or local servers. Work from anywhere with an internet connection and be confident that you’ll have access to the documents you need.
• Be your auditor’s favorite firm. Give SEC, FINRA, and state auditors access to all the records they need without delay, so you can satisfy their requirements and get back to business.
• Manage books and records at minimal cost. Reduce expenses associated with filing, records maintenance, data entry, and fines.

Take your entire office paperless with Docupace. With a centralized, secure, cloud-based platform for managing documents, broker-dealers, RIAs, and advisors can seamlessly store, organize, and access data from anywhere, on any device.

• Automatically organize and store all documents in a secure digital vault
• Comply with rules SEC 17a-3 and 17a-4
• Leverage true cloud-based WORM storage
• Operate confidently with guaranteed disaster recovery
• Store files in an SEC and FINRA books and records compliant database
• Assign roles and permissions to manage who has access to which records
• Leverage event-based retention with intelligent workflows
• Designated 3rd party provider (D3P) with representation letters
• Can be integrated with firm’s application