Finance Documents: Compliant, Secure, Available


Finance Documents: Ensure Compliance, Transparency & Efficiency

At DocTech we get to know your business well but for most business finance documents are among the most important.

We understand that finance employees must be extremely vigilant when it comes to handling their own and client data, especially with the tight regulations imposed by various regulators and standards such as:-

The Financial Conduct Authority (FCA)

The new MiFID II regulation comes into effect in 2018 and will improve the functioning of financial markets in light of the 2008 financial crisis. The new regulation could affect a wide range of company business functions and processes including trading, transaction reporting, data capture, client services, IT, HR and more.

The new PRIPPs regulation, which also comes into force in 2018, will require manufacturers of retail and insurance investment products to produce a three page key information document for retail investors – the document will allow investors to understand and compare products together with the risks, costs and returns related to them. It is imperative that companies establish an automated and standardised approach to exchanging data from various sources in order to obtain compliance. DocTech can help you achieve compliance with our secure document management and scanning solutions.

We also have a team of insolvency specialists who understand the amount of administrative tasks that have to be undertaken to meet insolvency compliance and regulations. Our solutions fully integrate with financial case management systems, helping you to work through your case loads in the most efficient and cost-effective manner.

We understand you don’t have time to waste, so simply contact us, tell us how you would like to improve the processing of your finance documents.

Get in Touch:   0161 667 7040

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“Everything is now filed and is easily retrievable in one document repository. Our Customer Services team achieved a time saving of approximately 15 hours of filing per week – i.e. ½ hour per person x 5 days. The system has provided greater security, retrieval is simpler and faster, with all the information accessible from any location. We are continuing to work closely with DocTech on future enhancements with other teams within our business.”
Sue Brennan, Swagelok Manchester

Find out more about our success with Swagelok in our case study here.


Finance Documents: Integrated Document Management Software Can Deliver Immediate Results

It is imperative that financial businesses adopt a good document management system to gain control of their sensitive data and ensure vital document security. A document management system enables you to automate business processes and improve your Return on Investment (ROI). Staff have immediate access to information in real time and are better equipped to deal with client queries.

DocTech’s solutions easily integrate into back office systems and other financial applications, ensuring clear audit trails and improved efficiencies across all departments. The solutions we offer include in the cloud or on premise, with flexible payment options to suit your requirements. Our solutions are reliable, scalable and easy to use, ensuring you remain compliant with the FCA and other necessary regulations.

Our systems work by accurately capturing data, regardless of its source, which is then stored in a central document repository enabling easy access and sharing of information with all staff. Manual business processes are digitalised and filing and storage are eliminated, resulting in reduced overheads and saved time. In addition, security permissions are configurable and any type of access rule can be created.

Transforming paper processes into automated workflows will help investigators access critical information. Should any enquiry occur, a quick resolution will be enabled.

Digital Mailroom

Managing all inbound correspondence represents high operational costs for the financial services industry. With DocTech’s digital mailroom solution, all documents flow through the same system and are indexed, sorted and distributed to the correct destination. With DocTech’s digital mailroom solution you gain control of documents within your company.

Streamline Your Business Processes to EU Standards

The Data Protection Regulation (GDPR)

The new GDPR comes into force in May 2018 which will hugely impact the financial services sector. Some of the rules may require changes to the handling and use of personal client data. Under these rules, personal data requests must be specific and clear, giving clients more control over how their data is handled.

It is imperative that companies start looking at data processes now as they could face fines of up to 5% of their global turnover. Personal data can consist of name, address, photo, email address, bank details, posts on social media, computer IP address and more.

All financial companies are urged to invest now in a secure document management system to protect them from data breaches and hefty fines of up to 5% of their global turnover.

Some of the benefits of implementing a document management system are:-

• Improves client trust and loyalty
• Easier audits
• Quick search and retrieval of documents
• Assists compliance with new GDPR rules
• Competitive advantage
• Lowers costs
• Increases productivity
• Intelligent indexing of documents
• Creates better working conditions
• Streamlines office processes
• Eliminates filing cabinets
• Robust data security
• Easy integrates with third party software applications

Contact DocTech today to find out more about our solutions and how we can ensure that your business processes remain compliant.

For further information about 3rd party integration in the Financial Services Sector, please view our integrations page: Integrations.

Features & Benefits of DocuWare

From simple file management to full workflow solutions, document management software is the perfect solution for any organisation that faces an ongoing battle with storing document and information.

Current DocuWare Users