Those advisors who proactively invest in technology to improve the efficiency of their compliance programs will be in the best shape to respond effectively to increased oversight and more frequent audits. - Tom Giachetti
Long Beach, CA and Palm Beach Gardens, FL (PRWEB) November 15, 2011
Laserfiche and Junxure will today kick off a workshop series titled, “Solving Compliance Challenges with Technology Integration.” The workshop, held today in San Francisco, tomorrow in Chicago and Thursday in New York, outlines how financial advisors can streamline operations, reduce compliance costs and mitigate risk by integrating their CRM systems with enterprise content management (ECM) systems. Attendees will receive one CE credit for their attendance.
Tom Giachetti, Chair of the Securities Practice Group at Stark & Stark, will open the workshop with a discussion of the legal and compliance issues advisors face today. A former investment banker and FINRA-registered representative, Giachetti’s legal practice is devoted to investment-related matters, including the representation of investment advisors, financial planners and registered representatives throughout the United States.
“With all of the regulatory changes affecting investment advisors, wise use of technology has become more important than ever,” said Giachetti. “Those advisors who proactively invest in technology to improve the efficiency of their compliance programs will be in the best shape to respond effectively to increased oversight and more frequent audits.”
Following Giachetti’s presentation, Greg Friedman, Co-founder and President of Junxure, and Laserfiche Senior Consultant Tim Welsh will join forces to demonstrate how integrating customer relationship management (CRM) with enterprise content management (ECM) streamlines operations, reduces compliance costs and mitigates risk.
“Managing multiple applications detracts from the time advisors spend on profitable activities,” said Welsh. “Advisory firms across the country have integrated Junxure with Laserfiche to gain instant access to client documentation from within their CRM, accelerating audits and simplifying compliance with state, SEC and FINRA regulations.”
Junxure was established in 2001 by Ken Golding and Greg Friedman, MS, CFP®, a financial advisor who developed the initial Junxure software to help him streamline operations at his growing firm. Today, Friedman is both Junxure president and president of Private Ocean, one of the West Coast’s most innovative wealth management firms. The inspiration for Junxure consulting, training and software comes from Greg’s day-to-day experience running his practice and helping his clients achieve their personal financial goals. A recent Investment News survey revealed more advisors use Junxure than any other CRM.
Since 1987, Laserfiche has used its Run Smarter® philosophy to create simple and elegant enterprise content management (ECM) solutions. More than 30,000 organizations worldwide—including federal, state and local government agencies and Fortune 1000 companies—use Laserfiche® software to streamline document, records and business process management.
The Laserfiche ECM system gives financial advisors the ability to simplify regulatory compliance, improve profitability and limit exposure to civil and criminal liability. It allows advisors to prepare for audits more easily and ensure compliance with multiple state, SEC and FINRA regulations—all while accelerating business processes and making staff more efficient.
Laserfiche®, Run Smarter® and Compulink® are registered trademarks of Compulink Management Center, Inc.