Docupile listed on FINRA Compliance Vendor Directory

 

finra dms

Docupile is excited to announce that FINRA has now listed us on their Compliance Vendor Directory. They are not a government entity, but they work closely with the SEC to enforce important regulations and protect investors. FINRA's Compliance Vendor Directory lists all of the vendors who offer products or services in support of FINRA's regulatory compliance objectives - which includes Docupile!

Docupile is listed in the FINRA Compliance Vendor Directory as of June 5, 2019. For organizations and businesses seeking compliance-related service providers, the FINRA Compliance Vendor Directory is an invaluable resource. With several tools to help keep businesses compliant with different regulations, Docupile is the place to go for all your regulatory needs. If you work in the financial industry, staying compliant can be a source of stress that's always on your mind. The Financial Industry Regulatory Authority (FINRA) provides auditing and regulation enforcement services for the financial industry. Performing self-audits to prevent a fine or being behind on important work can take up too much time.

You can maintain records that are in accordance with regulations by implementing a cloud document management solution. Docupile is one of the few digital document storage solutions that can meet most compliance standards, mainly due to their level of automation and inherent security features.

Security

Docupile is a company that monitors the security of the important documents of businesses. With bank-level encryption, documents can be transferred securely over the web. To make it even more difficult for outside parties to access the system and compromise sensitive data, they also maintain an auditing watchlist including items such as each transaction made on their platform.

Having appropriate permissions settings is a large part of complying with regulations. Documents are often grouped according to who has permission and which documents they can access, while the public is unaware of their existence and struggles to find a trace. Permissions can be used to determine who has what types of access, so you can give full control over sensitive documents to a few chosen individuals. You cannot edit a document, upload a new version to it, or grant access to it by ID.

Automated Retention

There are many records that should be retained for a designated amount of time. It is important that businesses retain records for as short a time as possible to avoid risking the exposure of liability. With Docupile, all documents sent to a specified folder automatically have an assigned date of retention. If a document is not scanned, it will lose all the information on the page and end up in Legal Hold. This data can be deleted, or you can be notified when it arrives.

Versioning and Audit Logs

Keeping organized records is essential in the business world, especially if you work for a financial institution. For most compliance standards, audit logs must include a list of all actions performed on a document, including who did it and when. Docupile's audit logs are updated as soon as new data is added and can be downloaded in a spreadsheet for viewing. Users may also return to a previous version of the document.

Docupile makes staying compliant so much easier and less stressful, simplifying your work and freeing you from worries about compliance with cloud based dms for accounting firm. To see these features first-hand, fill out the form below for a demo.


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