Advisors Assistant®, Imaging Assistant™ and the Paperless Office
Advisors Assistant offers different solutions to help you move toward the Paperless Office, including Imaging Assistant™, the Advisors Assistant scanning module.
For a demonstration on how easy it is to use Advisors Assistant and Imaging Assistant click on the Play Movie button below. You will need the latest version of Windows Media Player (Version 10) or RealPlayer and have your Windows display set to 1024x768 to view the movie.
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Imaging Assistant™ Demonstration |
With Advisors Assistant you have three options to help you move toward the Paperless Office:
- You can scan client files using your scanner software into a Windows folder, and then link the files to your client in Advisors Assistant. This option comes standard with Advisors Assistant, and requires several steps and navigating through your computer's filing system.
- Imaging Assistant™ streamlines the process above and saves you lots of time. Imaging Assistant™ automatically scans and links the files to your client in Advisors Assistant in one easy step.
Imaging Assistant™ is priced at just $299 for a single user and $499 for a 2 station network with 1 scan station and 2 viewer licenses. Imaging Assistant™ can also be used with PaperPort's full text search features.
- You can use the Advisors Assistant link to CabinetNG, LaserFiche, or MuniMetrix - document storage applications which can be used to meet SEC requirements to store or view clients' documents with just a keystroke and a click!
Your choice of method will depend on the number of documents you scan and store each day and your Broker Dealer's requirements.
SEC Compliance
You should meet with your Compliance Officer about SEC Compliance. SEC Compliance is determined by procedures and established by your compliance department. Below are some documents that may be useful - click on the document name to open the document in .pdf format.. Be sure to check official NASD and SEC websites for additional information.
Electronic Storage of Broker Dealer Records (Effective May 12, 2003)
Electronic Recordkeeping By Investment Companies and Investment Advisors (Effective May 31, 2001)
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