Presented by Beacon Strategies: Docupace – Context Study

Presented by Beacon Strategies: Docupace – Context Study

Beacon Strategies | 2/24/2017 | Alan “G” Giancaterino Alan “G”, EVP of Sales, gives an overview of our company, products, and client success stories. OVERVIEW Demographic: Docupace’s cybersecurity, document management and workflow solutions simplify the process of capturing, organizing, routing and accessing information for Broker-Dealers and RIAs that, under new DOL rules, must keep thorough, secure records of documents that explain how they formulated recommendations that are in the best interests of investors. Docupace’s innovative products have been proven to significantly reduce not-in-good-order (NIGO) conditions on document processing submissions for financial services...
Deadline Approaching for New York Cybersecurity Regulations

Deadline Approaching for New York Cybersecurity Regulations

ThinkAdvisor | 2/16/2017 | Danielle Andrus Rules ‘go beyond’ what SEC, FINRA have required of financial firms Gov. Andrew Cuomo of New York announced Thursday final regulations that require financial services institutions to establish and maintain strict cybersecurity standards and to report them to the state’s Department of Financial Services. DFS first proposed the regulation in September and was met with strong opposition from industry groups that said it was too strict. The mandate was revised in December to push back the compliance date. The regulation will take effect on March 1, and financial firms in New York will have until Sept. 1 to comply… Read more here About Docupace...
3 simple ways to drive compliance, visibility and oversight

3 simple ways to drive compliance, visibility and oversight

Despite their perceived differences, compliance, visibility and oversight are all directly related. No business can run effectively without them, and financial services firms should ensure that these three essential components have a central place in the company's operations. To that end, what can business leaders do to improve these three areas of importance? 1. Retain knowledgeable staff As in most industries, employees are a financial services firm's greatest asset. A good staff can overcome just about any obstacle, and the only way to go about acquiring such a team is to retain the best. Ensuring that workers stick around can certainly be difficult, especially considering...
Investors spearhead transparency, compliance push

Investors spearhead transparency, compliance push

Fund Technology | 2/1/2017 | Emily Sakamoto The investor community is spearheading a new push towards transparency in the fund management space, following a period of increased regulation in this segment of the market. The rise of digital applications and increased internet capabilities gives curious investors the infrastructure necessary to double check their providers. “Now a lot of investors are looking for raw data on their account and investments to take into their own systems and analyze appropriately,” said Adam Pinkert, director of private equity solutions at Backstop; Backstop is a CRM software provider to the alternative investment industry. “We aim to provide our clients with...
Decision-Makers had DOL on the Mind at FSI OneVoice

Decision-Makers had DOL on the Mind at FSI OneVoice

This year’s Financial Services Institute (FSI) OneVoice conference turned out to be one of the most productive forums for engaging with decision-makers. At first, attendance at the summit, held from January 23-25 at the San Francisco Marriott Marquis, may have appeared a bit lower than in previous years due to industry consolidation. However, the audiences at the keynote addresses and panel discussions—and the attendees who stopped by the Docupace booth—were mostly senior leaders and executives, and this rich concentration of higher-ups made the conference the ideal place to meet the right people. Right from the get-go, the DOL Fiduciary Rule was one of the major topics that dominated the...

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