CHALLENGES

Financial services organizations face the challenge of finding new ways to thrive in an ever more complex operational environment. With spiraling costs, increasing regulation and competitive pressures, the need for simplified, speedier business processes that no longer rely on paper is imperative.

SOLUTION OVERVIEW

Peelle Tech solutions for financial services build you a powerful document management infrastructure that is secure, transparent and accountable to meet compliance requirements (e.g. FINRA, SEC, SOX). You’ll create more efficient business processes that cut your costs and enable you to deliver better customer service. The result? A leaner, more agile organization more free to focus on revenue-generating activities.

Minimize Paper-Handling Overhead
Reduce the costs of paper-based, manual business processes from the Operations Department to the Compliance Office. Peelle Tech can help you work as you always have, except your records are securely stored in a digital repository rather than in file cabinets - facilitating response to audits, speeding order approval and tracking how efficiently your staff is working, all from one easy-to-operate interface.

Improve Communication with Advisors, Staff and Supervisors
If you supervise advisors working in satellite or home offices, or if you have to report to another office, you know that constant, simultaneous access to up-to-date information is critical. Peelle Tech can help you reduce labor, copying and mailing costs with immediate, economical distribution via e-mail, intranet or the Web. Documents can easily be digitally distributed to satellite offices, compliance officials and independent third parties.

Reduce the Costs of Compliance

Peelle Tech can help you simplify the burden of complying with regulator rules and retention requirements so you gain efficiency, improve profitability and increase transactional oversight.

Integrate with Existing Systems
Peelle Tech solutions for financial services are built with open architectures, designed for integration and interoperability with your existing systems.

BENEFITS

• Simplify compliance with SEC, FINRA and other mandates.
• Accelerate transaction approvals and minimize delay with workflow automation, distributed capture and other business process optimizations.
• Protect client and transaction records with comprehensive security.
• Integrate documents with your CRM system and other business-critical applications.
• Capture forms and documentation at the point of creation.
• Provide clients with secure, password-protected online document access through a public portal.
• Enable off-site audits and expedite on-site audits by producing records on demand.
• Publish time-dated records to unalterable media.
• Use DoD 5015.2-certified records management functionality to automate records life cycle management in compliance with SEC records retention requirements.
• Implement a turnkey standards-based digital signature system without changing your existing application environment.
• Easily develop integrations with any non-proprietary software, providing information on demand, as well as document collaboration and movement capabilities.
• Automatically store reports generated by COLD/ERM applications.
• Access images of checks from within a customer’s file, speeding customer service.