Investment Banks

Operational Efficiency and Compliance

Improve Operational Efficiency

  • Configure and utilize investor and deal workflow to reduce costs and automate routine labor-intensive functions
  • Digitize your paper-based processes with fully-integrated electronic signature
  • Create operation excellence with embedded business analytics tools

Drive Investor Engagement

  • Integrated CRM to scale your investor base by utilizing technology to track new prospects, opportunities and improve existing client relationships.
  • Process and track new investors in compliance with your firm’s standard operating procedures.
  • Provide investors access to an online deal portal and gain insights into client investment interests using real-time notifications and reporting

Fully Integrated Compliance

  • Consolidated audit trail of registered representative and investor activity
  • Generate reports by deal, investor and broker activity
  • Email archiving integration (Smarsh, Global Relay, Errado and more)
  • SEC rule 17a compliant record retention

Want to learn more about how ProSeeder can help you?