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Industry News and Insights

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…

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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…

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Top 3 trends in cyber security for 2017

Cyber security is a constantly evolving field. As soon as experts manage to contain one threat, hackers move on to another. It's a constant game of cat and mouse that will likely never end. 

Of course, this doesn't mean financial services firms should neglect their cyber defenses. Security is a moving target, and organizations need to be constantly reevaluating their preventative measures. Therefore, with 2017 on the horizon, it's important to start thinking about how cyber security will change in the new year. Let's take a look at what challenges IT departments can expect to face in the coming months.

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The Great Broker-Dealer Chasm of 2017

All industries evolve and the Financial Services industry is bracing for a tidal wave of change that is over twenty years in the making. The applicability date for the DOL Fiduciary Rule is April 10, 2017. In an industry that has been trying to adopt true digital processing for over two decades, this rule presents a significant push for change and significant challenges for Broker-Dealers, particularly those who continue to rely on home-grown, slow moving legacy systems, and those who have not been successful with transitioning their advisory force to digital processing. With less than eight months left, will firms be able to jump the Great Broker-Dealer Chasm of 2017 or will they fall...

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Financial Cost of a Data Breach

Data breaches are an increasing issue for companies. Even small organizations are not safe from attacks, and cyber security has become a major investment. The Federal government is in the midst of passing laws to protect and better facilitate direct action on behalf of affected organizations.

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Docupace and Security Snapshot to Extend Cyber-Security Management Solutions for Financial Services Firms

SEC/FINRA Compliant and Secure Straight-Through Processing Platform and Security Solutions Provider to Deliver Holistic Cyber-Security for Broker-Dealers and RIAs LOS ANGELES – (MAY 13, 2015) – Docupace Technologies, LLC (“Docupace”), a provider of SEC/FINRA-compliant paperless processing systems, announced today that it is joining with leading computer security services company Security Snapshot, LLC (“Security Snapshot”) to deliver comprehensive cyber-security solutions for financial services firms. The agreement is expected to fuse Docupace, the only secure, SEC/FINRA-compliant and paperless straight-through processing platform in the financial...

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To Back Scan or Not to Back Scan….That is the Question

When you begin using Docupace (or frankly any imaging solution), one of the first questions you should ask is “Am I only going to scan in my ‘day forward’ (new documents) or am I also going to scan in my old documents “? If the answer is “New and old”, you will be quickly kicking off a Back Scanning project. Before starting this project however, it is important you answer some key questions: When will you start back scanning: Immediately, wait a few months, etc.? Who will do it: Existing staff, temp, outsource, etc? When will they (staff) do it: An hour a day, full time to completion, 2 clients a week, etc.? Do I have the right scanner: Should I purchase...

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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...

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Press Releases

Docupace Repositions Key Executives to Better Serve Broker-Dealer & RIA Clients

Press Release | 1/05/2017 | Docupace

Docupace Technologies, LLC, the financial services industry’s leading provider of Straight-Through Processing solutions, announces that Chief Information Officer John Cunningham will fill the additional position of Chief Information Security Officer. Mr. Cunningham takes over from Tom Embrogno, who will step into the newly created role of Global Strategic Advisor.

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Docupace Announces Independence from RCS Capital (RCAP)

Press Release | 4/20/2016 | Docupace

Docupace Technologies LLC, financial services’ premier digital compliance and cyber security company, announced today that it will pursue growth independently of investment from RCS Capital Corporation (NYSE: RCAP).

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Success Stories

Videos

Tiburon Executive Roundtable: Tom Embrogno

Tiburon Executive Roundtable: Tom Embrogno

Tom Embrogno of Docupace Technologies talks about challenges and opportunities for financial advisors in the years ahead. Tiburon Executive Roundtable: Tom Embrogno from Impact Productions Group on...

Workflow Technology for IBDs and RIAs

Workflow Technology for IBDs and RIAs

Rep. Magazine / WealthManagement.com – October 26, 2012 Workflow Technology for IBDs and RIAs Michael Pinsker, CEO, Docupace Technologies, chats with Rich Santos, Group Publisher of WealthManagement.com about workflow technology while at the Tiburon CEO Summit XXIII in San Francisco, California, October 2012.

Technology Innovations and Trends in the Industry

Technology Innovations and Trends in the Industry

Technology Innovations and Trends in the Industry T3 Video Channel / TechnologyToolsForToday.com – February 12, 2012 Michael Pinsker of Docupace Technologies talks to roving reporter Marie Swift of Impact Communications while at the T3 Conference about technology and trends in the industry. And how Docupace helps advisors build more efficient and profitable...

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