Home
Industries
Industry Application Financial Industry
Share This
Share This
UBIQUATI e-DMS's document management solutions help financial advisors streamline office procedures and meet strict SEC and FINRA compliance requirements.
UBIQUATI e-DMS’s Shared Access Filing Environment (UBIQUATI) is an electronic filing system that is ideal for financial advisors, broker-dealers, and independent agents. UBiQuati e-DMS is structured to handle all the documents used in your office, whether they are scanned from paper or created electronically. With UBiQuati e-DMS you can dramatically improve both your filing and retrieval efficiency which provides greater productivity for you and your staff.
Ease of use
Everyone will tell you their product is user friendly, we have hundreds of customers who will attest to this fact. Users tell us that our software is not only easy to understand and use, it is quickly adopted by even those who lack previous computer experience. UBiQuati transforms manual filing processes into a digital filing environment that is easily adaptable across your operation.
- Meets SEC Rule 17a-4(f) requirements for the creation and preservation of security transactions
- Facilitates back-up to non-erasable WORM (Write Once, Read Many) format
- Enables the ready retrieval of records for inspection by regulatory agencies
- Organizes and indexes all records through system templates. (For example: document name, folder name, date, or can just as easily be configured to use social security number, tax identification, account number, client name, etc.)
- Permits backup of all records to separate disk or other media for off-site storage
- UBIQUATI e-DMS works with your existing systems
Our electronic filing solution supports the native document format of your existing applications, consolidating data into one organized and secure networked accessible system. In addition to basic filing, storage and retrieval UBiQuati EDMS provides enhanced functionality with office applications such as:
* Note above may require professional services from both parties
UBIQUATI EDMS solutions work with in-house and custom applications
Our professional services team can supply additional integration with specialty software programs to enhance functionality for your environment and deliver custom utilities to speed the deployment of document management within your organization. Our team can deliver utilities and custom programs to synchronize customer records, link documents with existing data, and process/workflow analysis to address the specific needs of your office environment.
Security that Scales
If you are a two-person office, security is likely not a concern; however, if you are growing, you will need a solution that can scale and control access to sensitive data. UBiQuati EDMS provides a platform that can grow with your business and extend across your entire operation. Many companies start in accounting and find increasing benefits as the company extends the technology into management, sales, human resources and customer service.
Decisions you can live with
We have provided document management solutions to the industry since 1994. We guarantee your success and will help you every step of the way. When you call us, a person answers the phone and directs your call. Our experts will assist you through the process of planning, installation, and training for your team, as well as on-going phone and internet support. Your financial office will save time and be more efficient:
- Reduce new client setup time by creating standard forms in the system
- Find client records within seconds
- Electronically route files and documents for further action
- Track where files are, when they were accessed and by whom
- Enforce security by guarding access to private files
- Transmit records to the home office electronically (when accepted)
- Easily back up your files to protect your records from catastrophic events
