Reduce Operational Costs and Increase Profitability.

Independent broker-dealers (IBDs) face not only multiplying compliance and regulatory demands, but also the costs of operating in an increasingly competitive industry. Remaining profitable and competitive is more complicated than it has ever been, and “the war for talent” is more aggressive than ever. With business regulations, IBDs find the need to embrace technology to ensure they are flexible, agile, and can profit from the opportunities created by these macro changes.

Key Solution Features Include:

  • Modern Account
    Management Platform

  • Filing Workflows
    for Client Records

  • Automation for
    Speed and Accuracy

  • Meets Fiduciary
    Requirements

  • Reliable
    Audit Trail

Process Features At-A-Glance

  • Electronic Forms for Paper-based Processes
  • Approvals & Routing Notifications
  • Document Management for Client Records
  • Document and Folder-Level Security

Thanks to Laserfiche Workflow and Forms, Chief Compliance Officer Chad Christensen of Semper Augustus Investments, LLC, has the perfect recipe to remain compliant without adding additional full-time staff members.

Hear from our Client!

In a highly regulated industry such as wealth management, meeting regulatory mandates can be very labor-intensive and a black hole for firms with tight resources.

Chad discusses how to:

  • Automate quarterly statements creation to fulfill SEC compliance and regulation requirements.
  • Design an automated document review and checking system to ensure task completion.
  • Sustain operational ROI through consistent Laserfiche expansion.

How Semper Augustus Investments Ensures Regulatory Compliance

With 120 clients and $200 million in assets under management, Semper Augustus Investments must comply with several financial services regulations.

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