Automate your day-to-day processes, meet fiduciary requirements, and create a reliable audit trail – all with an end-to-end solution.
Reduce Operational Costs and Increase Profitability.
Independent broker-dealers face not only multiplying compliance and regulatory demands but also the costs of operating in an increasingly competitive industry. Remaining profitable and competitive is complicated, and “the war for talent” is more aggressive than ever. Business regulations force you to embrace technology for flexibility, agility, and profitability from the opportunities created by these changes.
TRANSFORM THE WAY YOU WORK
Financial Services Adapt Hyperautomation.
It’s easy to see why financial services offices like yours work in paperless environments!
An intuitive and modern account-opening process improves your customer service.
Workflows reduce processing time, eliminates manual data input, and ensures information accuracy.
Content Services enables advisors to focus on serving their clients.
An informative dashboard includes an audit trail, business analytics, and more.
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.
Thanks to Workflow and Forms, Chief Compliance Officer, Chad Christensen, of Semper Augustus Investments, has the perfect recipe to remain compliant without adding additional full-time staff members. Automate quarterly statements creation to fulfill SEC compliance and regulation requirements.