Technology Providers (Document Management)

Docupace Technologies, LLC pioneered and implemented SEC/ FINRA-compliant straight-through processing technology for financial services companies. Docupace’s cybersecurity and document management and workflow solutions simplify the process of capturing, organizing, routing and accessing information for broker-dealers and registered investment advisors (RIAs) that, under new government regulations, must keep thorough, secure records of documents that explain how they formulated recommendations that are in the best interests of investors. Docupace’s innovative products have been proven to significantly reduce not- in -good-order (NIGO) conditions on document processing submissions for financial service s companies. Docupace currently services over 1 billion stored document s from more than 500 broker-dealers and RIAs. For more information, please visit or follow @docupace (


ePACS Productivity Suite

Docupace’s ePACS Productivity Suite facilitates Straight-Through Processing, allowing advisors to process documents and transactions, securely and digitally, from beginning to end while reducing not- in -good-order (NIGO) designations and complying with SEC /FINRA rules. Advisors can save money and spend less time on every application workflow by utilizing Docupace’s offering.

Docupace recently launched ePACS Connect , a new technology release of the ePACS Productivity Suite. It provides advisors with a faster, more efficient recordkeeping experience across all business lines, and offers tracking and search functions that prepare advisors for compliance audits. ePACS Connect also provides secure access to documents through mobile devices.

Its enhancements include:

· A library of SmartForms with business rules that drive data valuation s. Fields that are filled out incorrectly, missing information, and/or don ’ t meet regulatory standards are automatically flagged for correction at the beginning of the process. Docupace’s secure APIs enable data to be harvested from other sources through integrations, and automatically saved for use in other downstream systems.

· Cloud-based “ data rooms ” where select team members can securely manage, access, and update documents related to sensitive transactions.

· A centralized digital vault that organizes books and records in compliance with SEC Reg. 17(a)3 and 17(a)4.

· Cyber encryption to secure documents, data and devices.

· A dashboard showing all assigned work items, along with t heir statuses and locations.

Docupace stores the over 1 billion documents it services in its Tier IV Gold Certified data center — one of only two data centers in the U.S. with this designation.

Category Finalists

Technology Providers: Document Management

Key Business Leader

Michael Pinsker
Founder and CEO

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