Laserfiche ECM forBroker-Dealers

Jeffrey Green Director of Strategic Services, Laserfiche

5+

MILLION USERS

35,000+

ORGANIZATIONS

A GLOBAL COMMUNITY OF LEADERS AND EVANGELISTS

28 Years of Innovation Focused resources for product advancement

and market development

Comprehensive support program for customer training and community building

Strong partnership with key industry vendors

For Laser App Conference 2015 | 3Laserfiche ECM for Broker-Dealers

Laserfiche Presence inFinancial Services Over 25 years of experience in designing

process solutions for wealth management firms, and financial services institutions

Comprehensive integrated solutions with key industry applications and partners, enabling streamlined and scalable operations

Featured by industry expert as one of the five essential technology tools in 2015

Named finalist for the 2015 Industry Award for the Document

Management and Technology Innovation categories

Rated strong on easy implementation and upgrade

Laserfiche ECM for Broker-Dealers For Laser App Conference 2015 | 4

Laserfiche Content Server

Workflow Engine

Enterprise Search

Laserfiche Servers

Document Imaging

Records Management

Document Management

Multi-Channel Capture

Document Distribution

Business Process

Management

Electronic Forms

Governance, Risk &

Compliance

Document Management

Laserfiche ECM System Topology

Laserfiche Content Server

Workflow Engine

Enterprise Search

Laserfiche Servers

Document Imaging

Records Management

Document Management

Multi-Channel Capture

Mobile Capture

MFP and Network Capture and Import

Photo Capture

Electronic Import

e-Form Capture

High-Volume Import

Document Distribution

Business Process

Management

Electronic Forms

Governance, Risk &

Compliance

Document Management

Laserfiche ECM System Topology

Multi-Channel Capture

Mobile Capture

MFP and Network Capture and Import

Photo Capture

Electronic Import

e-Form Capture

High-Volume Import

Electronic Forms

Form Builder

BPMN Routing

Task Management

Mobile Approval

Reports

Business Process Management

Pre-built Workflows

Custom Notifications and Triggers

C# and VB.NET Script Editor

Search and Reporting Interface

Laserfiche Content Server

Workflow Engine

Enterprise Search

Laserfiche Servers

Document Imaging

Records Management

Document Management

Multi-Channel Capture

Mobile Capture

MFP and Network Capture and Import

Photo Capture

Electronic Import

e-Form Capture

High-Volume Import

Governance, Risk and Compliance

DoD 5015.2-certified Records Management

VERS-compliant Electronic Records Management

Wizard-based Audit Trail Configuration

Audit Trail Reporting

Digital Signatures

Document Distribution

Electronic Forms

Document Management

Version Control

Basic and Advanced Search

Unified Metadata Models

Bundled OCR/Full-text Indexing

Governance, Risk &

Compliance

Document Management

Laserfiche ECM System Topology

Business Process Management

Pre-built Workflows

Custom Notifications and Triggers

C# and VB.NET Script Editor

Search and Reporting Interface

Electronic Forms

Form Builder

BPMN Routing

Task Management

Mobile Approval

Reports

Business Process Management

Pre-built Workflows

Custom Notifications and Triggers

C# and VB.NET Script Editor

Search and Reporting Interface

Laserfiche Content Server

Workflow Engine

Enterprise Search

Laserfiche Servers

Document Imaging

Records Management

Document Management

Multi-Channel Capture

Mobile Capture

MFP and Network Capture and Import

Photo Capture

Electronic Import

e-Form Capture

High-Volume Import

Governance, Risk and Compliance

DoD 5015.2-certified Records Management

VERS-compliant Electronic Records Management

Wizard-based Audit Trail Configuration

Audit Trail Reporting

Digital Signatures

Document Distribution

Document Management

Version Control

Basic and Advanced Search

Unified Metadata Models

Bundled OCR/Full-text Indexing

Governance, Risk &

Compliance

Document Management

Laserfiche ECM System Topology

Electronic Forms

Form Builder

BPMN Routing

Task Management

Mobile Approval

Reports

Electronic Forms

Form Builder

BPMN Routing

Task Management

Mobile Approval

Reports

Business Process Management

Pre-built Workflows

Custom Notifications and Triggers

C# and VB.NET Script Editor

Search andReporting Interface

Document Distribution

Web PublicPortal

Portable Archives

Desktop, Web and Mobile Clients

Laserfiche Content Server

Workflow Engine

Enterprise Search

Laserfiche Servers

Document Imaging

Records Management

Document Management

Multi-Channel Capture

Mobile Capture

MFP and Network Capture and Import

Photo Capture

Electronic Import

e-Form Capture

High-Volume Import

Governance, Risk and Compliance

DoD 5015.2-certified Records Management

VERS-compliant Electronic Records Management

Wizard-based Audit Trail Configuration

Audit Trail Reporting

Digital Signatures

Document Management

Version Control

Basic and Advanced Search

Unified Metadata Models

Bundled OCR/Full-text Indexing

Governance, Risk &

Compliance

Document Management

Laserfiche ECM System Topology

Document Distribution

Web PublicPortal

Portable Archives

Desktop, Web and Mobile Clients

Electronic Forms

Form Builder

BPMN Routing

Task Management

Mobile Approval

Reports

Business Process Management

Pre-built Workflows

Custom Notifications and Triggers

C# and VB.NET Script Editor

Search and Reporting Interface

Document Distribution

Web PublicPortal

Portable Archives

Desktop, Web and Mobile Clients

Laserfiche Content Server

Workflow Engine

Enterprise Search

Laserfiche Servers

Document Imaging

Records Management

Document Management

Multi-Channel Capture

Mobile Capture

MFP and Network Capture and Import

Photo Capture

Electronic Import

e-Form Capture

High-Volume Import

Governance, Risk and Compliance

DoD 5015.2-certified Records Management

VERS-compliant Electronic Records Management

Wizard-based Audit Trail Configuration

Audit Trail Reporting

Digital Signatures

Document Management

Version Control

Basic and Advanced Search

Unified Metadata Models

Bundled OCR/Full-text Indexing

Governance, Risk &

Compliance

Laserfiche ECM System Topology

Document Management

Version Control

Basic and Advanced Search

Unified Metadata Models

Bundled OCR/Full-text Indexing

Electronic Forms

Form Builder

BPMN Routing

Task Management

Mobile Approval

Reports

Business Process Management

Pre-built Workflows

Custom Notifications and Triggers

C# and VB.NET Script Editor

Search and Reporting Interface

Document Distribution

Web PublicPortal

Portable Archives

Desktop, Web and Mobile Clients

Laserfiche Content Server

Workflow Engine

Enterprise Search

Laserfiche Servers

Document Imaging

Records Management

Document Management

Multi-Channel Capture

Mobile Capture

MFP and Network Capture and Import

Photo Capture

Electronic Import

e-Form Capture

High-Volume Import

Governance, Risk and Compliance

DoD 5015.2-certified Records Management

VERS-compliant Electronic Records Management

Wizard-based Audit Trail Configuration

Audit Trail Reporting

Digital Signatures

Document Management

Version Control

Basic and Advanced Search

Unified Metadata Models

Bundled OCR/Full-text Indexing

Laserfiche ECM System Topology

Governance, Risk and Compliance

DoD 5015.2-certified Records Management

VERS-compliant Electronic Records Management

Wizard-based Audit Trail Configuration

Audit Trail Reporting

Digital Signatures

Document Distribution

Web PublicPortal

Portable Archives

Desktop, Web and Mobile Clients

Multi-Channel Capture

Mobile Capture

MFP and Network Capture and Import

Photo Capture

Electronic Import

e-Form Capture

High-Volume Import

CRM System

Financial Planning System

Email Server

Audit Files

Web Browser

Smartphones

Tablets

Network Folders

Business Applications

Databases

Web Users

Mobile Users

Business Applications

Databases

Advisors

Customers

Custodians

Broker-Dealers

Web Browser

CD, DVD, Portable Hardrive, USB Drive

Email Applications

Electronic Forms

Form Builder

BPMN Routing

Task Management

Mobile Approval

Reports

Business Process Management

Pre-built Workflows

Custom Notifications and Triggers

C# and VB.NET Script Editor

Search and Reporting Interface

Laserfiche Content Server

Workflow Engine

Enterprise Search

Laserfiche Servers

Document Imaging

Records Management

Document Management

Governance, Risk and Compliance

DoD 5015.2-certified Records Management

VERS-compliant Electronic Records Management

Wizard-based Audit Trail Configuration

Audit Trail Reporting

Digital Signatures

Document Management

Version Control

Basic and Advanced Search

Unified Metadata Models

Bundled OCR/Full-text Indexing

Laserfiche ECM System Topology

For Laser App Conference 2015 | 13Laserfiche ECM for Broker-Dealers

Publish & Preserve

Check for Compliance

Review & Approval

ContentCapture

ECM Process

Process Automation Across Financial Services Firms

Blotter Processing

New Account Opening

Audit Review

Check Processing

Foreign Asset Control

New Deposit Account Opening

Human Resources

Accounts Payable

Loan Origination Processing

$

Laserfiche ECM forBroker-Dealers

Jeffrey Green Director of Strategic Services, Laserfiche