Financial advisors today face multiplying compliance and regulatory demands. Paper-based compliance policies and procedures cut into profits and unnecessarily complicate workflow.

A digital document management system can’t automatically make you compliant, but it can ease the burden of complying with increasingly stringent multi-regulatory rules and retention requirements.

Download this white paper to learn how you can harness document management software to gain efficiency, improve profitability and increase productivity, all while reducing the cost of compliance.

When you download the white paper, you will get:

  • A legal overview of electronic recordkeeping for advisors by Oren M. Chaplin, Esq.
  • An overview of SEC and FINRA regulations for recordkeeping
  • An overview of how document management helps you meet compliance obligations
  • A worksheet for developing compliance policies and procedures
  • Sample letters for the SEC and FINRA about using an electronic document management system

Download your copy!

By submitting this form, I have read and agreed to Laserfiche’s Terms of Use and am opting in to receive emails.