WFG Integrates Front and Back Office Workflow with Docupace ePACS® Solution.

WFG Integrates Front and Back Office Workflow with Docupace ePACS® Solution.

“Docupace is a welcome addition to our technology platform, allowing us to continue to provide our independent Financial Professionals with a competitive edge in a fast paced and regulated industry,” said Wilson Williams, Founder and Chief Executive Officer of Williams Financial Group. “Our goal was to create immediate operational efficiencies, reduce costs, improve service and streamline office workflows for our affiliated field of Independent Financial Professionals.” WFG now has the flexibility to retrieve their documents anywhere they can get on the Internet, turn their office paperless and achieve critical redundancies. Click here to read the full press...
Williams Financial Group Provides a Competitive Edge to Its Affiliated Independent Financial Professionals

Williams Financial Group Provides a Competitive Edge to Its Affiliated Independent Financial Professionals

Integrating Front And Back Office Workflow With Docupace ePACS® Solution DALLAS, June 28, 2011 ‚Äî Williams Financial Group, based in Dallas, Texas, is one of the fastest growing independent companies in the country through its broker-dealer subsidiary, WFG Investments Inc., member FINRA and SIPC (recently named to Financial Planning magazine”s top 50) with over 6.5 billion in assets under management. Selecting Docupace (SEC/FINRA compliant workflow and imaging solution) has propelled Williams Financial Group into a highly sought-after position within the broker-dealer industry. “Docupace is a welcome addition to our technology platform, allowing us to continue to provide our...
SEC OKs controversial registration plan for back-office workers

SEC OKs controversial registration plan for back-office workers

This was in a recent article in Investment News by Dan Jamieson. The Securities and Exchange Commission yesterday approved a plan by the Financial Industry Regulatory Authority Inc. that will create a new operations professional license, with a qualification exam and continuing-education requirements. The new rule marks a substantial expansion of registration requirements to include back-office personnel. Registration has historically been limited to individuals working in sales or trading. Finra will be announcing an effective date for the rule within the next two to three weeks, said Finra spokeswoman Nancy Condon. From the effective date, Broker-Dealers will have 60 days to identify...

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