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Financial Advisor February 2010 Joel P. Bruckenstein	One For The Short List Document management system Image Executive allows advisors to operate more productively, efficiently and securely.
Financial Advisor December 2008 Joel Bruckenstein	Beyond Paperless Laserfiche Avante's document management and other features allow advisors to find new ways to structure work flow.
Financial Advisor May 2009 David Lawrence	Worth The Investment The simple truth is that those advisors boasting an efficient document management system can bring their costs way down over time.
Investment Advisor July 2006 Thomas D. Giachetti, esq.	Expert's Corner: Passing Muster Is your electronic record keeping up to SEC snuff? Financial advisors should exercise discretion and diligence regarding electronic record retention and communication procedures. When in doubt, retain the hard copy original or make a phone call.
Financial Advisor December 2009 Joel P. Bruckenstein	Scanning Through Windows PaperPort Professional 12 has been redesigned from the bottom up to make it more user-friendly.
Registered Rep. April 1, 2008 Christina Mucciolo	The Eclipse of Paper The process of scanning documents and storing them using document-management software has finally taken hold of the mainstream in the brokerage industry.
Investment Advisor February 1, 2011 Dan Skiles	Building an Efficient Document Imaging Strategy The good news regarding document imaging and management is that most advisors are already storing some of their documents electronically. The challenge for advisors is making sure that they have the right system in place for their firm.
Financial Advisor March 2010 David Lawrence	A Key To Efficiency Advisors today have many choices when it comes to document management software.
Financial Advisor July 2008 David Lawrence	Keeping The Record Straight Financial Planning Association President Mark Johannessen and Andrew J. "Buddy" Donohue, director of the investment management division of the U.S. Securities and Exchange Commission, discuss current regulatory issues affecting the financial planning profession.
Financial Planning September 1, 2008 Joel P. Bruckenstein	Going Paperless More financial planners are starting to embrace the idea of using a document management system.
Financial Advisor October 2010 David J. Drucker	Audit Ready This tool should make your SEC audit go more smoothly.
Financial Advisor July 2009 Joel P. Bruckenstein	Formatting Fallacies For advisory businesses, choosing between TIFFs or PDFs for business records means understanding their pros and cons.
CIO September 15, 2001 Ian Springsteel	Are You Sure You Want to Save That? At most companies, managing electronic records means backing up everything in case disaster strikes. But that can get you in trouble, too, if you don't know what you're saving and why...
Financial Planning March 1, 2005 Andrew Miller	You've Got Mail A new compliance rule involving financial advisers and broker-dealers raises a host of questions about recordkeeping and e-mail retention.
CIO March 15, 2003	Mandate from SEC Regulators: Save Your Electronic Documents The rules take effect Oct. 31, giving CIOs seven months to deploy the capability to save records if they don't already have it. Here are some tips for getting started with a document retention plan that meets the spirit and letter of the law.
On Wall Street August 1, 2012 Todd Colbeck	Taking Your Office Paperless Are you using a typewriter or PC in the workplace? If you are using a typewriter, you can skip this article. If you are using a PC, it is time to digitize your business.
CFO June 16, 2003 Bob Violino	File Under 'Nightmare' Information overload has acquired a regulatory dimension, forcing senior executives to take notice.
Investment Advisor February 2010 Chester Wright	Expert's Corner: Small, Yes, But Compliant How smaller RIA firms can shoulder the compliance burden.
Financial Planning October 1, 2006 John E. Gebauer	Your Mailbox Is Full For investment advisors, the regulations for email retention remain murky, but applying some best practices can help.
Investment Advisor February 2008 Thomas D. Giachetti	Is an IPS the Answer? Investment Policy Statements can be helpful, but remember, longer documents aren't always better.
Investment Advisor September 2005 Melanie Waddell	The Playing Field: The Image is All Important Document imaging is becoming a must-have technical solution for compliance-conscious financial advisors.
Financial Planning October 1, 2005 Lisa Roth	When the SEC Comes Calling Advisers need to prepare for an SEC regulatory inspection this month. Here's why -- and how.
Financial Planning November 1, 2007 Joel P. Bruckenstein	Laserfiche Intuition Laserfiche is perhaps the most widely recognized name in document management among financial services professionals. Here is a product aimed at the sole practitioner or small firm.
Bank Systems & Technology February 26, 2007 Peggy Bresnick Kendler	New E-Discovery Rules Pose Challenges for Banks Banks need to focus on putting policies in place to govern electronic information, say experts.
Financial Advisor September 2011 Joel P. Bruckenstein	MS Office In The Clouds Office 365 is still in its infancy, but it could be an attractive option for financial advisory firms of all sizes.
Insurance & Technology February 19, 2004 Anthony O'Donnell	Compliance as Opportunity Regulatory compliance demands force insurers to dedicate scarce resources, but meeting those demands can be the occasion to accomplish worthwhile IT goals.
Financial Advisor October 2008 Joel Bruckenstein	The Power Of PDFs Acrobat 9 Pro Extended offers some compelling new features that can be used to enhance a financial advisory practice.
Investment Advisor August 2005 Thomas D. Giachetti	Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners.
Financial Planning December 1, 2008 Joel P. Bruckenstein	Financial Planning's Software Survey 2008 Better technology can reap rewards for advisors.. Read on for the results of the Financial Planning Software Survey.
Bank Systems & Technology December 1, 2003 Cynthia Ramsaran	Newer Regulations Keep Banks On Their Toes When it Comes to Content Compliance demands highlight need for enhanced content management strategies.
Insurance & Technology October 29, 2003 Peggy Bresnick Kendler	Improved Corporate Content Management New regulations and competitive pressures have insurers turning with renewed urgency to document technologies to manage corporate information.
Investment Advisor August 2009 Adam Moseley & Wade Spencer	New Day, New Tools With budgets tighter than ever these days, many advisory firms have found it difficult to pursue new technology initiatives and make new purchases.
Financial Advisor October 2004 Chaplin & Giachetti	Contingency Planning And Rule 206(4)-7 What must a financial advisor do to comply?
Financial Planning April 1, 2007 John J. Bowen	Policing Your Practice If you build an effective compliance system, your firm will be more appealing to both clients and buyers. Here's how to build a great compliance system.
InternetNews November 17, 2006 Andy Patrizio	Adobe Right Management Server Extends to Office Adobe Systems has released LiveCycle Policy Server 7.2, an update to its enterprise rights management software that adds fine-grain encryption and protection to document files.
Financial Advisor June 2008 David Lawrence	Keeping It Private In this age of malicious software, computer viruses, and other means of stealing information, it should seem obvious to most financial advisors to take steps to protect client and firm data. Yet many firms still do not do this.
Bio-IT World April 16, 2004 Salvatore Salamone	Documents Under New Management Life science companies are turning to document or content management systems with workflow features to run more efficient organizations.
Financial Advisor December 2007	Letters to the Editor Let's Be Logical... Important Issues... Feeling Betrayed... etc.
Financial Advisor June 2009 Joel P. Bruckenstein	Stepping It Up Broker-dealers are enhancing the technology they offer to advisors.
Financial Advisor August 2006 Joel Bruckenstein	First Look At Advisors Office The developers have laid a solid foundation upon which additional functionality can be layered. If and when this occurs, Advisors Office will be an interesting proposition for an office of perhaps three to ten employees, provided the pricing is well aligned with the functionality being offered.
Financial Advisor September 2005 Bruce W. Fraser	How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process.
Pharmaceutical Executive July 1, 2005 Patrick Clinton	The Single Source of Truth The regulatory load thrust upon pharma's shoulders in recent years has made compliance solutions a top budget priority for IT executives, and sent technology suppliers on a mission to uncover for pharma companies.
Investment Advisor July 1, 2011 Thomas D. Giachetti	Are You Prepared for a Regulatory Exam? Learn the steps you need to take to prepare for a regulatory exam.
InternetNews January 11, 2006 David Ian Miller	Adobe's DRM Push Is Adobe Systems deliberately stomping on Microsoft's technological toes or just breaking into the profitable digital rights management marketplace?
Financial Advisor March 2005 Tracey Longo	The Watchdog Inside Your Firm The SEC is making your chief compliance officer a whistleblower. Advisors' success with regulators in 2005 will depend largely on whether they trip themselves up or are able to create a business model that is better aligned with their clients.
D-Lib November 2001 Linda Pearce	Lessons Learned: The Development of Electronic Reserves at the University of Calgary This article lays out the issues surrounding the in-house development of a fully featured electronic reserve platform known as Allectra at the University of Calgary in Alberta, Canada...
D-Lib Nov?Dec 2010 Noonan et al.	PDF/A: A Viable Addition to the Preservation Toolkit We describe the format itself, the lessons learned as the authors investigated the tools readily available for creating PDF/A files and the design of the pilot to test implementation of the use of the format in The Ohio State University's repository, the Knowledge Bank.
Investment Advisor August 2006 Thomas D. Giachett	Expert's Corner: A Process, Not a Destination With the advent of SEC Rule 206(4) 7, which requires SEC-registered investment advisors to implement and maintain policies and procedures appropriate for their investment advisory business, it is more critical than ever for all RIAs to recognize that compliance is an ongoing process.
Investment Advisor September 2006 Ken Ziesenheim	Expert's Corner: The Fiduciary Audit File How to help clients who are themselves fiduciaries: Establishment of a fiduciary audit filing system is your best defense, and constitutes a best practice for fiduciaries.
Financial Planning July 1, 2011 Donna Mitchell	Tweet Away It's been a struggle to get advisors to embrace social media because they don't fully recognize its business value.