OnBase for Broker-Dealers from OnBase by Hyland

Enterprise information platform that manages documents, processes, and cases for brokerages. Features include automated document capture, workflow automation, secure client file management, regulatory compliance tools, and integration with core brokerage systems.

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Product analysis by function

Document Management Systems for Client Services

Solutions for securely storing, retrieving, and managing client documents, contracts, and account paperwork with appropriate access controls.
More Document Management Systems More Client Services ...

Security & Access Control
(0 Yes /0 Known /13 Possible features)

Document Storage & Organization
(0 Yes /0 Known /13 Possible features)

Compliance & Audit
(0 Yes /0 Known /12 Possible features)

User Experience & Accessibility
(0 Yes /0 Known /11 Possible features)

Collaboration & Workflow
(0 Yes /0 Known /10 Possible features)

Integration & API
(0 Yes /0 Known /10 Possible features)

Performance & Reliability
(0 Yes /0 Known /9 Possible features)

Client Communication & Portal
(0 Yes /0 Known /9 Possible features)

Reporting & Analytics
(0 Yes /0 Known /9 Possible features)

Client Onboarding & Account Management
(0 Yes /0 Known /10 Possible features)

Maintenance & Support
(0 Yes /0 Known /10 Possible features)

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Encryption at Rest Documents are encrypted while stored in the system.		No information available
Encryption in Transit Data is encrypted while being transferred between users and servers.		No information available
Role-based Access Control Allows assignment of access to documents based on user roles or job titles.		No information available
Multi-factor Authentication Requires more than one form of user authentication to access the system.		No information available
Granular Permission Settings Ability to set permissions at folder, document, and user levels.		No information available
Audit Trails Comprehensive logging of all actions, access, and modifications for compliance and security review.		No information available
Single Sign-On (SSO) Supports integration with enterprise SSO providers for unified authentication.		No information available
IP Whitelisting Restricts access to the system from approved IP ranges only.		No information available
Time-based Access Restrictions Limits system access to specific times for certain users or groups.		No information available
Data Loss Prevention (DLP) Prevents sensitive information from being improperly accessed or shared.		No information available
Automatic Session Timeouts Sessions automatically log out users after a period of inactivity.		No information available
SSL/TLS Support Supports secure socket layers/transport layer security protocols.		No information available
Secure Mobile Access Enables mobile users to securely access documents through dedicated apps or browsers.		No information available

Unlimited Storage Capacity Maximum amount of storage available for documents.		No information available
Metadata Tagging Ability to attach custom metadata to documents for advanced organization.		No information available
Full-text Search Search capability allowing retrieval of documents based on content, not just filenames or metadata.		No information available
Folder Hierarchy Support Supports nested folder structures for document categorization.		No information available
Version Control Keeps track of document versions and changes over time.		No information available
Bulk Upload/Download Users can upload or download multiple documents at once.		No information available
Document Templates Pre-defined templates for common documents and forms.		No information available
Drag-and-Drop Upload Allows users to upload files by dragging them into the browser window.		No information available
Document Preview Displays previews of documents without requiring download.		No information available
Duplicate Detection Identifies and flags potential duplicate files.		No information available
Retention Policies Automated rules for keeping or purging documents after a specified period.		No information available
Check-in/Check-out Functionality Prevents conflicting edits by locking documents when being edited.		No information available
Automated Filing Automatically files incoming documents into correct folders/sections based on rules.		No information available

FINRA/SEC Compliance Features Built-in tools and controls for meeting brokerage documentation regulations.		No information available
Data Retention Compliance Automatically enforces legal retention periods for client records.		No information available
WORM Storage Option Write Once Read Many (WORM) support to prevent document alteration.		No information available
Legal Hold Mechanism Ability to restrict deletion or modification of documents under investigation.		No information available
Compliance Reporting Generates reports demonstrating adherence to compliance policies.		No information available
Automated Regulatory Updates Updates retention policies and workflows in response to new laws or regulations.		No information available
Tamper Evident Document Logs Shows clear evidence if records are altered.		No information available
Electronic Signature Compliance Adheres to e-sign regulations (e.g., ESIGN, UETA) for legal acceptance.		No information available
Privacy Impact Assessment Tools Helps assess and document how the system complies with privacy regulations.		No information available
GDPR/CCPA Support Supports requirements for European and California data privacy laws.		No information available
Chain of Custody Tracking Logs all handlers of a document for legal defensibility.		No information available
SOC2/ISO Compliance Certification System has third-party certification for security and privacy controls.		No information available

Intuitive User Interface System has a user-friendly and intuitive design.		No information available
Customizable Dashboards Users can personalize home screens and document views.		No information available
Accessibility Compliance Comply with WCAG/ADA standards for users with disabilities.		No information available
Multi-language Support Provides user interface and documentation in multiple languages.		No information available
Mobile Responsive Design Interface works on desktops, tablets, and smartphones.		No information available
Bulk Actions Allows users to apply actions (delete, move, tag) to multiple files at once.		No information available
Favorites/Bookmarks Users can bookmark frequently accessed documents.		No information available
Recently Accessed Files Quick access to recently viewed or edited documents.		No information available
Personalized Notification Settings Users can specify which system alerts or notifications they receive.		No information available
Keyboard Shortcuts Enhanced navigation and functions through shortcut keys.		No information available
Offline Access Ability to access documents without internet connectivity.		No information available

Shared Workspaces Create shared folders or spaces for specific teams or projects.		No information available
Commenting & Annotations Enables users to comment or annotate documents.		No information available
Automated Approval Workflows Route documents for review, approval, and sign-off automatically.		No information available
Task Assignments Assign document-related tasks to specific users or roles.		No information available
E-mail Notification Integration Automatically sends notifications about document changes or actions.		No information available
Real-Time Collaboration Multiple users can edit/view a document simultaneously.		No information available
External Guest Access Allows sharing specific documents with external parties securely.		No information available
Document Locking Prevents conflicts by restricting editing access when another user is editing.		No information available
Workflow Template Library Library of pre-built workflows for common brokerage tasks.		No information available
Automated Reminders System can send reminders for pending reviews or signatures.		No information available

Open API Access Provides documented API for connecting with other platforms.		No information available
CRM Integration Ability to link with popular customer relationship management systems.		No information available
e-Signature Platform Integration Works with DocuSign, Adobe Sign, or other e-signature services.		No information available
Email Client Integration Directly send/receive/store documents from email.		No information available
Core Brokerage Platform Integration Ability to integrate with account opening, trading, and compliance systems.		No information available
Cloud Storage Integration Link with systems like Box, Dropbox, or OneDrive.		No information available
Webhooks/Notifications API Emit automated notifications to other systems on document changes.		No information available
Bulk Data Import/Export Mass-migration and synchronization capabilities for documents and metadata.		No information available
Custom Workflow Integration Define and connect external workflow automations.		No information available
Custom Fields & Mapping Ability to map document properties to external system fields.		No information available

System Uptime SLA Guaranteed percentage of system availability.		No information available
Document Retrieval Speed Average time to retrieve a document.		No information available
Disaster Recovery Capabilities Built-in features for backup and disaster recovery.		No information available
Redundant Data Centers Geographically diverse backups and failover capabilities.		No information available
Load Balancing Distributes requests evenly across infrastructure for high availability.		No information available
24/7 Monitoring Continuous monitoring of system health and performance.		No information available
Auto-scaling Infrastructure Dynamically scales resources based on system load.		No information available
Instant Document Indexing Documents are indexed and searchable immediately upon upload.		No information available
Scheduled Maintenance Window Notifications Advance notifications of maintenance to minimize interruption.		No information available

Client Portal Access Secure area where clients can view, upload, and download documents.		No information available
Self-service Document Requests Clients can request specific documents or forms from within the portal.		No information available
E-signature Collection Integrated collection of client e-signatures on key documents.		No information available
Secure Messaging Exchange confidential messages and documents with clients.		No information available
White-label Branding Customize the portal to include your branding and logos.		No information available
Notification of Document Availability Automatically notify clients when a document is available for their review.		No information available
Privilege Differentiation Set different access levels for clients (e.g., view-only, download, upload).		No information available
Client Activity Tracking Shows when clients accessed, downloaded, or signed documents.		No information available
Download Limits/Controls Restricts the frequency or volume of client downloads.		No information available

Usage Analytics Tracks metrics on document access, uploads, and downloads.		No information available
Custom Report Builder Users can create custom reports from system data.		No information available
Exportable Reports Reports can be exported in multiple formats (PDF, CSV, XLS).		No information available
Document Access Reports Shows who accessed documents and when.		No information available
Regulatory Compliance Reports Automated reporting for regular financial audits and compliance reviews.		No information available
Trend Analysis Identifies usage patterns over time.		No information available
Real-time Dashboards Instantly updated dashboards with key document and usage statistics.		No information available
Failed Access Attempt Reporting Tracks and reports unauthorized or failed access attempts.		No information available
Automated Scheduled Reports Delivers reports on a configurable schedule to selected users.		No information available

Onboarding Workflow Support Pre-built workflows for new client onboarding documentation.		No information available
KYC Document Collection Dedicated process for collecting and verifying KYC/AML documents.		No information available
Automated Form Filling System can auto-populate forms based on client data.		No information available
Document Expiry Tracking Tracks expiration dates and sends renewal reminders for required documents.		No information available
Change-of-Address Automation Facilitates the update of client records and documents when address changes are made.		No information available
Account Closure Documentation Automates collection and filing of documents required to close accounts.		No information available
E-signature for Account Opening Supports electronic signing of new account opening documents.		No information available
Archived Account Management Ability to retain and manage documentation of closed or archived accounts.		No information available
Document Completeness Checks Automated system ensures all required client documents are present.		No information available
Bulk Onboarding Support for simultaneous onboarding of multiple clients (e.g., corporate accounts).		No information available

24/7 Technical Support Round-the-clock access to technical helpdesk.		No information available
Dedicated Account Manager Assigned contact for escalations and account issues.		No information available
Comprehensive Knowledge Base Access to detailed documentation and self-help resources.		No information available
In-application Guided Training Interactive walkthroughs and in-product guidance.		No information available
Automated Software Updates System updates are rolled out automatically, minimizing disruption.		No information available
Customizable User Roles & Permissions Admins can define and adjust user roles themselves.		No information available
System Health Dashboard Real-time visibility into system status.		No information available
Incident Response Time Average time to respond to support tickets.		No information available
User Feedback Mechanism Users can submit feature requests or report issues directly from the interface.		No information available
Update Release Notes Detailed notes accompany each system update.		No information available

OnBase for Broker-Dealers from OnBase by Hyland

Product analysis by function

Document Management Systems for Client Services

Security & Access Control (0 Yes /0 Known /13 Possible features)

Document Storage & Organization (0 Yes /0 Known /13 Possible features)

Compliance & Audit (0 Yes /0 Known /12 Possible features)

User Experience & Accessibility (0 Yes /0 Known /11 Possible features)

Collaboration & Workflow (0 Yes /0 Known /10 Possible features)

Integration & API (0 Yes /0 Known /10 Possible features)

Performance & Reliability (0 Yes /0 Known /9 Possible features)

Client Communication & Portal (0 Yes /0 Known /9 Possible features)

Reporting & Analytics (0 Yes /0 Known /9 Possible features)

Client Onboarding & Account Management (0 Yes /0 Known /10 Possible features)

Maintenance & Support (0 Yes /0 Known /10 Possible features)