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The Paperless Compliance Solution!
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Document imaging is becoming a must-have technical solution for compliance-conscious advisors.*
Since the adoption of SEC Rule 17a-3 & 17a-4 in 1939, the SEC has required broker-dealers to make and maintain certain records deemed necessary to ensure compliance with federal securities laws and regulations. For almost 40 years these records had to be kept in paper and other costly storage mediums. As we now know, film degrades over time and papers can be misplaced and/or lost, but digital is forever. The Commission amended these record retention guidelines to allow broker-dealers to take advantage of technological advancements and money saving practices, and thus allowing financial institutions to store these records using any electronic storage medium.**
 Paperless Compliance Solution meets the SEC’s document and record retention standards for compliance. |
| is a specialized document management appliance that is now available to the financial industry. |
| With you or any one on your network can Scan, Archive, Email, Fax documents using a simple web browser. |
| stores all documents on two redundant hard drives, to the capacity of over 10 million scanned pages. The equivalence of 600 four drawer file cabinets. |
| takes the functionality of enterprise-class document management systems and makes it far easier to use and much more affordable. |
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Your documents are securely; permanently archived |
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Designed to ensure the accuracy, accessibility, and exact duplication of the electronically stored records |
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Enhance best practices while complying with government mandates. |
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Meets the electronic storage requirements of SEC Rule 17a-4 |
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Documents are accessible via browser-based retrieval interface |
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Unlimited users. No Licensing fees |
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One Click emails and faxes documents™ |
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Search feature allows you to instantly find and retrieve documents fast and easy |
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Save on physical space and storage fees |
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Built in back up lets you back up all your files to DVD with one click |
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Day 1 ROI — Instant access to client documents, the ability to email and fax directly from EFact, instantly provides savings in paper storage, overnight mail, and office supplies used to print and copy documents — all quickly result in a significant return on your investment. |
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Integration with your Financial applications |
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*From Investment Advisor Magazine September 2005 issue
**From http://www.sec.gov/rules/interp/34-44238.htm |
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Our Customers Speak:
"Efact is so user friendly and has valuable features such as simultaneous access by multiple people in the office; we can all view the same document at the same time from our own desks! Our clients comment on how efficient we are, EFACT made it possible to fax, email or burn to CD without searching for the file over and over again, one button does it all. EFACT has proven to be a real time saver and a value to our operations."
Jeanne Cameron Jones
Shaheen Guerrera & O'Leary, LLC. North Andover, MA
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