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14 Best ECM Practices in Financial Services

We recently benchmarked 6 major financial services firms (all Doculabs clients) and compared their maturity for managing documents...The Best Practices Below I outline 14 best practices in financial services for the major stages of the content lifecycle

Richard Medina's profile image

Blog Entry
Ensure Organizational Efficiency in Financial Services through Workflow

Financial services companies are often rife with ad hoc workflows established to solve a particular task that is ultimately performed inconsistently. To ensure organizational efficiency, it is imperative to define and establish workflows with consistency within the financial services industry

Nick Inglis's profile image

Blog Entry
Social Media Meets the Financial Services Industry (and Vice Versa): Part 2

Organizations must make sure the content posted to their blogs complies with all applicable regulations – regulations which, in the financial services industry, are stringent, given they’re intended to protect investors from false or misleading claims and representations

James Watson's profile image

Blog Entry
Social Media Meets the Financial Services Industry (and Vice Versa): Part 1

No doubt the compliance units at securities firms are scurrying to come up with policies and procedures to address new guidance on the use of social media, issued by the Financial Industry Regulatory Authority (FINRA Regulatory Notice 10-06. It’s a much-needed response to the new...

James Watson's profile image

Blog Entry
No More Wait at the Bank

Banks, credit unions and other financial services institutions lag well behind other industries in taking steps to improve efficiency, decrease wait times and generally speed up processing times

Joe Budelli's profile image

Blog Entry
The Major Capabilities You’ll Need for Enterprise Capture – and a Snapshot of What Your Peers are Doing

By “most organizations”, I mean most organizations in the document-heavy verticals like financial services, healthcare, and some areas of manufacturing

Richard Medina's profile image

Blog Entry
15 Articles on the Controversies of Capture

Capture and Imaging Enterprise Document Capture Initiatives, the Right Way 10 Ways to Improve Capture OCR and Indexing Good and Bad Capture Applications How to Assess Your Capture Operation Capture ROI Calculator and White Paper Digitization and Paperless Process – with Sample Calculator Mobile Capture How to Do Mobile Capture without Making the Mistakes We Learned to Avoid 10 Years Ago Capture and Imaging Applications 3 Approaches to Improving AP Processes with ECM Adding ECM to Accounts Payable Processes: An Introduction Transforming the Mortgage Loan Capture Process: Digitization and Automation (article) Transforming the Mortgage Loan Capture Process: Digitization and Automation (presentation) 14 Best ECM Practices in Financial Services When Should You Do Imaging for Records Management? What ECM Technologies and Products Do Large Financial Services and Insurance Companies Use?

Richard Medina's profile image

Blog Entry
Develop the Business Case for Improving Your Forms Processes in 4 Steps

Here are the basic steps I’d suggest, and we’ll use a financial services firm as an example. 1...Transaction Types: A typical transaction type for financial services firms is “Money Out&rdquo

Richard Medina's profile image

Blog Entry
Challenges of Running an e-Discovery Team

These requests (within the Financial Services industry) are likely to emanate from one of the following:- Financial Services Authority (FSA) in the UK Securities Exchange Authority (SEC) in the US Commodities Futures Trading Commission (CFTC) Financial Industry Regulatory Authority (FINRA) HM Revenue and Customs (HMRC) in the UK External Legal Counsel The result of failing to identify/provide the Records when required is likely to be:- reputational risk – the risk of damage to your organisation as a result of negative publicity a fine imprisonment a fine and imprisonment From the above, we can see it is essential to have a defined (and implemented) procedural framework for dealing with e-Discovery requests

Roger Poole's profile image

Blog Entry
The Challenges (And Rewards) of Records Management in an International Setting

The following are some of the key Agencies for Firms based in or having operations in some key jurisdictions:- Commodity Futures Trading Commission (CFTC) - US Food and Drug Administration (FDA) - US Securities and Exchange Commission (SEC) - US Financial Services Authority (FSA) - UK Civil Aviation Agency (CAA) - UK Japanese Financial Services Authority (JFSA) - Japan Knowing your environment To state the obvious - to make an informed decision you have to know what you have and where you wish to go

Roger Poole's profile image