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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.
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
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Security & Access Control
(0 Yes /0 Known /13 Possible features)
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Encryption at Rest Documents are encrypted while stored in the system. |
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Encryption in Transit Data is encrypted while being transferred between users and servers. |
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Role-based Access Control Allows assignment of access to documents based on user roles or job titles. |
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Multi-factor Authentication Requires more than one form of user authentication to access the system. |
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Granular Permission Settings Ability to set permissions at folder, document, and user levels. |
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Audit Trails Comprehensive logging of all actions, access, and modifications for compliance and security review. |
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Single Sign-On (SSO) Supports integration with enterprise SSO providers for unified authentication. |
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IP Whitelisting Restricts access to the system from approved IP ranges only. |
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Time-based Access Restrictions Limits system access to specific times for certain users or groups. |
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Data Loss Prevention (DLP) Prevents sensitive information from being improperly accessed or shared. |
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Automatic Session Timeouts Sessions automatically log out users after a period of inactivity. |
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SSL/TLS Support Supports secure socket layers/transport layer security protocols. |
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Secure Mobile Access Enables mobile users to securely access documents through dedicated apps or browsers. |
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Document Storage & Organization
(0 Yes /0 Known /13 Possible features)
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Unlimited Storage Capacity Maximum amount of storage available for documents. |
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Metadata Tagging Ability to attach custom metadata to documents for advanced organization. |
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Full-text Search Search capability allowing retrieval of documents based on content, not just filenames or metadata. |
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Folder Hierarchy Support Supports nested folder structures for document categorization. |
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Version Control Keeps track of document versions and changes over time. |
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Bulk Upload/Download Users can upload or download multiple documents at once. |
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Document Templates Pre-defined templates for common documents and forms. |
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Drag-and-Drop Upload Allows users to upload files by dragging them into the browser window. |
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Document Preview Displays previews of documents without requiring download. |
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Duplicate Detection Identifies and flags potential duplicate files. |
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Retention Policies Automated rules for keeping or purging documents after a specified period. |
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Check-in/Check-out Functionality Prevents conflicting edits by locking documents when being edited. |
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Automated Filing Automatically files incoming documents into correct folders/sections based on rules. |
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Compliance & Audit
(0 Yes /0 Known /12 Possible features)
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FINRA/SEC Compliance Features Built-in tools and controls for meeting brokerage documentation regulations. |
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Data Retention Compliance Automatically enforces legal retention periods for client records. |
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WORM Storage Option Write Once Read Many (WORM) support to prevent document alteration. |
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Legal Hold Mechanism Ability to restrict deletion or modification of documents under investigation. |
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Compliance Reporting Generates reports demonstrating adherence to compliance policies. |
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Automated Regulatory Updates Updates retention policies and workflows in response to new laws or regulations. |
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Tamper Evident Document Logs Shows clear evidence if records are altered. |
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Electronic Signature Compliance Adheres to e-sign regulations (e.g., ESIGN, UETA) for legal acceptance. |
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Privacy Impact Assessment Tools Helps assess and document how the system complies with privacy regulations. |
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GDPR/CCPA Support Supports requirements for European and California data privacy laws. |
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Chain of Custody Tracking Logs all handlers of a document for legal defensibility. |
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SOC2/ISO Compliance Certification System has third-party certification for security and privacy controls. |
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User Experience & Accessibility
(0 Yes /0 Known /11 Possible features)
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Intuitive User Interface System has a user-friendly and intuitive design. |
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Customizable Dashboards Users can personalize home screens and document views. |
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Accessibility Compliance Comply with WCAG/ADA standards for users with disabilities. |
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Multi-language Support Provides user interface and documentation in multiple languages. |
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Mobile Responsive Design Interface works on desktops, tablets, and smartphones. |
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Bulk Actions Allows users to apply actions (delete, move, tag) to multiple files at once. |
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Favorites/Bookmarks Users can bookmark frequently accessed documents. |
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Recently Accessed Files Quick access to recently viewed or edited documents. |
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Personalized Notification Settings Users can specify which system alerts or notifications they receive. |
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Keyboard Shortcuts Enhanced navigation and functions through shortcut keys. |
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Offline Access Ability to access documents without internet connectivity. |
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Collaboration & Workflow
(0 Yes /0 Known /10 Possible features)
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Shared Workspaces Create shared folders or spaces for specific teams or projects. |
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Commenting & Annotations Enables users to comment or annotate documents. |
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Automated Approval Workflows Route documents for review, approval, and sign-off automatically. |
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Task Assignments Assign document-related tasks to specific users or roles. |
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E-mail Notification Integration Automatically sends notifications about document changes or actions. |
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Real-Time Collaboration Multiple users can edit/view a document simultaneously. |
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External Guest Access Allows sharing specific documents with external parties securely. |
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Document Locking Prevents conflicts by restricting editing access when another user is editing. |
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Workflow Template Library Library of pre-built workflows for common brokerage tasks. |
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Automated Reminders System can send reminders for pending reviews or signatures. |
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Integration & API
(0 Yes /0 Known /10 Possible features)
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Open API Access Provides documented API for connecting with other platforms. |
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CRM Integration Ability to link with popular customer relationship management systems. |
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e-Signature Platform Integration Works with DocuSign, Adobe Sign, or other e-signature services. |
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Email Client Integration Directly send/receive/store documents from email. |
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Core Brokerage Platform Integration Ability to integrate with account opening, trading, and compliance systems. |
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Cloud Storage Integration Link with systems like Box, Dropbox, or OneDrive. |
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Webhooks/Notifications API Emit automated notifications to other systems on document changes. |
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Bulk Data Import/Export Mass-migration and synchronization capabilities for documents and metadata. |
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Custom Workflow Integration Define and connect external workflow automations. |
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Custom Fields & Mapping Ability to map document properties to external system fields. |
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Performance & Reliability
(0 Yes /0 Known /9 Possible features)
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System Uptime SLA Guaranteed percentage of system availability. |
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Document Retrieval Speed Average time to retrieve a document. |
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Disaster Recovery Capabilities Built-in features for backup and disaster recovery. |
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Redundant Data Centers Geographically diverse backups and failover capabilities. |
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Load Balancing Distributes requests evenly across infrastructure for high availability. |
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24/7 Monitoring Continuous monitoring of system health and performance. |
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Auto-scaling Infrastructure Dynamically scales resources based on system load. |
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Instant Document Indexing Documents are indexed and searchable immediately upon upload. |
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Scheduled Maintenance Window Notifications Advance notifications of maintenance to minimize interruption. |
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Client Communication & Portal
(0 Yes /0 Known /9 Possible features)
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Client Portal Access Secure area where clients can view, upload, and download documents. |
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Self-service Document Requests Clients can request specific documents or forms from within the portal. |
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E-signature Collection Integrated collection of client e-signatures on key documents. |
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Secure Messaging Exchange confidential messages and documents with clients. |
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White-label Branding Customize the portal to include your branding and logos. |
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Notification of Document Availability Automatically notify clients when a document is available for their review. |
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Privilege Differentiation Set different access levels for clients (e.g., view-only, download, upload). |
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Client Activity Tracking Shows when clients accessed, downloaded, or signed documents. |
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Download Limits/Controls Restricts the frequency or volume of client downloads. |
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Reporting & Analytics
(0 Yes /0 Known /9 Possible features)
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Usage Analytics Tracks metrics on document access, uploads, and downloads. |
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Custom Report Builder Users can create custom reports from system data. |
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Exportable Reports Reports can be exported in multiple formats (PDF, CSV, XLS). |
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Document Access Reports Shows who accessed documents and when. |
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Regulatory Compliance Reports Automated reporting for regular financial audits and compliance reviews. |
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Trend Analysis Identifies usage patterns over time. |
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Real-time Dashboards Instantly updated dashboards with key document and usage statistics. |
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Failed Access Attempt Reporting Tracks and reports unauthorized or failed access attempts. |
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Automated Scheduled Reports Delivers reports on a configurable schedule to selected users. |
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Client Onboarding & Account Management
(0 Yes /0 Known /10 Possible features)
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Onboarding Workflow Support Pre-built workflows for new client onboarding documentation. |
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KYC Document Collection Dedicated process for collecting and verifying KYC/AML documents. |
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Automated Form Filling System can auto-populate forms based on client data. |
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Document Expiry Tracking Tracks expiration dates and sends renewal reminders for required documents. |
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Change-of-Address Automation Facilitates the update of client records and documents when address changes are made. |
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Account Closure Documentation Automates collection and filing of documents required to close accounts. |
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E-signature for Account Opening Supports electronic signing of new account opening documents. |
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Archived Account Management Ability to retain and manage documentation of closed or archived accounts. |
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Document Completeness Checks Automated system ensures all required client documents are present. |
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Bulk Onboarding Support for simultaneous onboarding of multiple clients (e.g., corporate accounts). |
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Maintenance & Support
(0 Yes /0 Known /10 Possible features)
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24/7 Technical Support Round-the-clock access to technical helpdesk. |
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Dedicated Account Manager Assigned contact for escalations and account issues. |
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Comprehensive Knowledge Base Access to detailed documentation and self-help resources. |
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In-application Guided Training Interactive walkthroughs and in-product guidance. |
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Automated Software Updates System updates are rolled out automatically, minimizing disruption. |
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Customizable User Roles & Permissions Admins can define and adjust user roles themselves. |
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System Health Dashboard Real-time visibility into system status. |
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Incident Response Time Average time to respond to support tickets. |
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User Feedback Mechanism Users can submit feature requests or report issues directly from the interface. |
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Update Release Notes Detailed notes accompany each system update. |
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