Worldwide Investment Bank
Implemented end-to-end communications system on AccuRoute to conform to SEC 17(a) and increase user productivity. The IT and compliance team was applauded by the SEC for its implementation.
Many financial institutions are daunted by compliance requirements and the need to properly handle broker communications. This large, global financial institution (the Client), ranking in the top 10 of investment banks and providing customers with investment banking, private banking, and asset management services, was faced with this challenge. The Client was looking for a solution to specifically address its compliance requirements pertaining to those mandated by the Security and Exchange Act of 1934 (specifically its record-keeping requirements of Section 17(a)).
Immediate benefits with AccuRoute:
- Compliance with SEC 17(a) for fax communications, avoiding significant fines, reputation damage, and potential disbarment of brokers
- Consolidated IT infrastructure and the elimination of traditional fax machines, offering one solution in place of three systems
- Enhanced flexibility, as documents include built-in secure archiving capabilities and can quickly route to many document workflows with multiple distributions
- Increased productivity through highly available and distributed document scanning devices (primarily used for fax)
- Significant cost savings by reducing traditional fax machines, mail, overnight express, courier, etc. for secure distribution of paper documents
- Digitized documents mean fewer costs associated with filing, maintaining, accessing, and storing paper documents
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