Going paperless turned into a business process automation overhaul for one San Diego broker-dealer.
The project took a year. And in the end, workflow tracking and electronic signature capturing helped make Girard Securities more efficient, and more compliant.
The independent broker-dealer has essentially completely done away with lost documents and filing errors, according to Investment News.
Financial advisory offices have made a new commitment to paper in the wake of increasing compliance concerns. John Barragan, the firm’s CEO and president, said that eliminating document submission errors has resulted in tangible cost savings.
And in addition to the lack of errors, going paperless has made work a bit more relaxing. One employee enjoys working at his Texas lake house, or his parents’ upstate New York home.
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