Key Solution Features Include:
for Client Records
Speed and Accuracy
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.READ MORE