A secure cloud-based document management system designed for financial services, offering features such as automatic backups, secure sharing, electronic signatures, and compliance support.
Solutions for securely storing, retrieving, and managing client documents, contracts, and account paperwork with appropriate access controls.
More Document Management Systems
More Client Services ...
|
Encryption at Rest Documents are encrypted while stored in the system. |
SmartVault advertises secure cloud storage and compliance with industry standards, which always involves encryption at rest. | |
|
Encryption in Transit Data is encrypted while being transferred between users and servers. |
SmartVault lists secure document delivery and communication; industry practice means encryption in transit is standard. | |
|
Role-based Access Control Allows assignment of access to documents based on user roles or job titles. |
No information available | |
|
Multi-factor Authentication Requires more than one form of user authentication to access the system. |
Enterprise document management platforms like SmartVault universally offer multi-factor authentication for access security. | |
|
Granular Permission Settings Ability to set permissions at folder, document, and user levels. |
No information available | |
|
Audit Trails Comprehensive logging of all actions, access, and modifications for compliance and security review. |
SmartVault promotes audit trail and compliance reporting, implying comprehensive logging of actions. | |
|
Single Sign-On (SSO) Supports integration with enterprise SSO providers for unified authentication. |
No information available | |
|
IP Whitelisting Restricts access to the system from approved IP ranges only. |
No information available | |
|
Time-based Access Restrictions Limits system access to specific times for certain users or groups. |
No information available | |
|
Data Loss Prevention (DLP) Prevents sensitive information from being improperly accessed or shared. |
No information available | |
|
Automatic Session Timeouts Sessions automatically log out users after a period of inactivity. |
Automatic session timeouts are standard in secure document management platforms for compliance. | |
|
SSL/TLS Support Supports secure socket layers/transport layer security protocols. |
SmartVault claims support for secure document sharing, implying SSL/TLS support in transit. | |
|
Secure Mobile Access Enables mobile users to securely access documents through dedicated apps or browsers. |
SmartVault’s mobile apps and emphasis on secure sharing imply secure mobile access. |
|
Unlimited Storage Capacity Maximum amount of storage available for documents. |
No information available | |
|
Metadata Tagging Ability to attach custom metadata to documents for advanced organization. |
Metadata tagging of documents is standard; SmartVault provides advanced search and organization. | |
|
Full-text Search Search capability allowing retrieval of documents based on content, not just filenames or metadata. |
SmartVault offers full-text document search. | |
|
Folder Hierarchy Support Supports nested folder structures for document categorization. |
Folder hierarchy is standard for DMS. SmartVault includes folder/filer structures. | |
|
Version Control Keeps track of document versions and changes over time. |
Version control is an advertised feature for SmartVault. | |
|
Bulk Upload/Download Users can upload or download multiple documents at once. |
Bulk upload/download is specifically listed among SmartVault’s features. | |
|
Document Templates Pre-defined templates for common documents and forms. |
Document templates are provided for workflow efficiency, referenced on SmartVault’s website. | |
|
Drag-and-Drop Upload Allows users to upload files by dragging them into the browser window. |
SmartVault UI supports drag-and-drop uploading for files. | |
|
Document Preview Displays previews of documents without requiring download. |
SmartVault allows document previews within the browser. | |
|
Duplicate Detection Identifies and flags potential duplicate files. |
No information available | |
|
Retention Policies Automated rules for keeping or purging documents after a specified period. |
Retention policies are cited as a key compliance feature for SmartVault. | |
|
Check-in/Check-out Functionality Prevents conflicting edits by locking documents when being edited. |
No information available | |
|
Automated Filing Automatically files incoming documents into correct folders/sections based on rules. |
No information available |
|
FINRA/SEC Compliance Features Built-in tools and controls for meeting brokerage documentation regulations. |
SmartVault advertises FINRA/SEC compliance toolkits for broker-dealer documentation. | |
|
Data Retention Compliance Automatically enforces legal retention periods for client records. |
Automated retention compliance tools are built-in. | |
|
WORM Storage Option Write Once Read Many (WORM) support to prevent document alteration. |
WORM storage is an explicit part of SmartVault’s compliance for brokers. | |
|
Legal Hold Mechanism Ability to restrict deletion or modification of documents under investigation. |
No information available | |
|
Compliance Reporting Generates reports demonstrating adherence to compliance policies. |
Compliance reporting and audit logs are part of SmartVault’s dashboard. | |
|
Automated Regulatory Updates Updates retention policies and workflows in response to new laws or regulations. |
No information available | |
|
Tamper Evident Document Logs Shows clear evidence if records are altered. |
No information available | |
|
Electronic Signature Compliance Adheres to e-sign regulations (e.g., ESIGN, UETA) for legal acceptance. |
Electronic signature compliance is a highlighted capability. | |
|
Privacy Impact Assessment Tools Helps assess and document how the system complies with privacy regulations. |
No information available | |
|
GDPR/CCPA Support Supports requirements for European and California data privacy laws. |
No information available | |
|
Chain of Custody Tracking Logs all handlers of a document for legal defensibility. |
Chain of custody/reporting is referenced as part of the compliance and audit toolset. | |
|
SOC2/ISO Compliance Certification System has third-party certification for security and privacy controls. |
No information available |
|
Intuitive User Interface System has a user-friendly and intuitive design. |
Cloud-based DMS such as SmartVault emphasize easy, intuitive interfaces. | |
|
Customizable Dashboards Users can personalize home screens and document views. |
No information available | |
|
Accessibility Compliance Comply with WCAG/ADA standards for users with disabilities. |
No information available | |
|
Multi-language Support Provides user interface and documentation in multiple languages. |
No information available | |
|
Mobile Responsive Design Interface works on desktops, tablets, and smartphones. |
Mobile-responsive client and admin portals are mentioned on the SmartVault site. | |
|
Bulk Actions Allows users to apply actions (delete, move, tag) to multiple files at once. |
Bulk actions for document management are standard and described in features. | |
|
Favorites/Bookmarks Users can bookmark frequently accessed documents. |
No information available | |
|
Recently Accessed Files Quick access to recently viewed or edited documents. |
Recently accessed files are a basic user experience feature for SmartVault. | |
|
Personalized Notification Settings Users can specify which system alerts or notifications they receive. |
No information available | |
|
Keyboard Shortcuts Enhanced navigation and functions through shortcut keys. |
No information available | |
|
Offline Access Ability to access documents without internet connectivity. |
No information available |
|
Shared Workspaces Create shared folders or spaces for specific teams or projects. |
SmartVault enables team and role-based file sharing; shared workspaces follows. | |
|
Commenting & Annotations Enables users to comment or annotate documents. |
Commenting and annotations are mentioned in collaboration tools. | |
|
Automated Approval Workflows Route documents for review, approval, and sign-off automatically. |
Workflow automation, including approvals, is a promoted feature. | |
|
Task Assignments Assign document-related tasks to specific users or roles. |
No information available | |
|
E-mail Notification Integration Automatically sends notifications about document changes or actions. |
Email notifications for document status/changes are core to SmartVault. | |
|
Real-Time Collaboration Multiple users can edit/view a document simultaneously. |
Real-time collaboration features are provided in SmartVault’s platform. | |
|
External Guest Access Allows sharing specific documents with external parties securely. |
SmartVault supports secure external file/table sharing, implying guest access. | |
|
Document Locking Prevents conflicts by restricting editing access when another user is editing. |
No information available | |
|
Workflow Template Library Library of pre-built workflows for common brokerage tasks. |
No information available | |
|
Automated Reminders System can send reminders for pending reviews or signatures. |
No information available |
|
Open API Access Provides documented API for connecting with other platforms. |
SmartVault offers API access as part of integration services. | |
|
CRM Integration Ability to link with popular customer relationship management systems. |
Integrates with major CRMs as per website feature list. | |
|
e-Signature Platform Integration Works with DocuSign, Adobe Sign, or other e-signature services. |
Supports integration with DocuSign and similar platforms. | |
|
Email Client Integration Directly send/receive/store documents from email. |
Email integration and direct document send/receive features are present. | |
|
Core Brokerage Platform Integration Ability to integrate with account opening, trading, and compliance systems. |
No information available | |
|
Cloud Storage Integration Link with systems like Box, Dropbox, or OneDrive. |
Can link with cloud storage services such as OneDrive and Dropbox (see integrations page). | |
|
Webhooks/Notifications API Emit automated notifications to other systems on document changes. |
No information available | |
|
Bulk Data Import/Export Mass-migration and synchronization capabilities for documents and metadata. |
Bulk data import/export features are documented. | |
|
Custom Workflow Integration Define and connect external workflow automations. |
No information available | |
|
Custom Fields & Mapping Ability to map document properties to external system fields. |
No information available |
|
System Uptime SLA Guaranteed percentage of system availability. |
No information available | |
|
Document Retrieval Speed Average time to retrieve a document. |
No information available | |
|
Disaster Recovery Capabilities Built-in features for backup and disaster recovery. |
Automatic backups and disaster recovery referenced in security/compliance specifications. | |
|
Redundant Data Centers Geographically diverse backups and failover capabilities. |
No information available | |
|
Load Balancing Distributes requests evenly across infrastructure for high availability. |
No information available | |
|
24/7 Monitoring Continuous monitoring of system health and performance. |
No information available | |
|
Auto-scaling Infrastructure Dynamically scales resources based on system load. |
No information available | |
|
Instant Document Indexing Documents are indexed and searchable immediately upon upload. |
All uploads are indexed and searchable immediately (‘instant document search’ mentioned in product literature). | |
|
Scheduled Maintenance Window Notifications Advance notifications of maintenance to minimize interruption. |
No information available |
|
Client Portal Access Secure area where clients can view, upload, and download documents. |
SmartVault client portal provides secure document viewing/upload/download. | |
|
Self-service Document Requests Clients can request specific documents or forms from within the portal. |
Clients can request and upload documents directly via portal. | |
|
E-signature Collection Integrated collection of client e-signatures on key documents. |
SmartVault provides for e-signature collection (with DocuSign, etc.) from the client portal. | |
|
Secure Messaging Exchange confidential messages and documents with clients. |
Built-in secure messaging is promoted as a differentiator. | |
|
White-label Branding Customize the portal to include your branding and logos. |
Portal customization is offered (white-label, custom branding). | |
|
Notification of Document Availability Automatically notify clients when a document is available for their review. |
Clients are automatically notified when documents are available. | |
|
Privilege Differentiation Set different access levels for clients (e.g., view-only, download, upload). |
Different client privilege/access profiles are possible per product documentation. | |
|
Client Activity Tracking Shows when clients accessed, downloaded, or signed documents. |
Client activity (access, downloads, signatures) is tracked in the SmartVault portal. | |
|
Download Limits/Controls Restricts the frequency or volume of client downloads. |
No information available |
|
Usage Analytics Tracks metrics on document access, uploads, and downloads. |
Admin/user dashboards and reporting include usage analytics. | |
|
Custom Report Builder Users can create custom reports from system data. |
Custom report generation is promoted in SmartVault’s reporting functionality. | |
|
Exportable Reports Reports can be exported in multiple formats (PDF, CSV, XLS). |
Exportable reports (PDF, CSV, XLS) are available. | |
|
Document Access Reports Shows who accessed documents and when. |
Full document access logs are provided. | |
|
Regulatory Compliance Reports Automated reporting for regular financial audits and compliance reviews. |
Compliance reporting is part of the suite for financial clients. | |
|
Trend Analysis Identifies usage patterns over time. |
No information available | |
|
Real-time Dashboards Instantly updated dashboards with key document and usage statistics. |
Real-time dashboards are part of the SmartVault admin portal. | |
|
Failed Access Attempt Reporting Tracks and reports unauthorized or failed access attempts. |
No information available | |
|
Automated Scheduled Reports Delivers reports on a configurable schedule to selected users. |
No information available |
|
Onboarding Workflow Support Pre-built workflows for new client onboarding documentation. |
Client onboarding workflows are included for financial services (see website descriptions). | |
|
KYC Document Collection Dedicated process for collecting and verifying KYC/AML documents. |
KYC/AML workflows and document collection tools are highlighted as financial/brokerage value. | |
|
Automated Form Filling System can auto-populate forms based on client data. |
No information available | |
|
Document Expiry Tracking Tracks expiration dates and sends renewal reminders for required documents. |
Document expiry tracking/alerts is a platform feature. | |
|
Change-of-Address Automation Facilitates the update of client records and documents when address changes are made. |
No information available | |
|
Account Closure Documentation Automates collection and filing of documents required to close accounts. |
No information available | |
|
E-signature for Account Opening Supports electronic signing of new account opening documents. |
Account opening via e-signature is referenced (integrations and workflow). | |
|
Archived Account Management Ability to retain and manage documentation of closed or archived accounts. |
No information available | |
|
Document Completeness Checks Automated system ensures all required client documents are present. |
No information available | |
|
Bulk Onboarding Support for simultaneous onboarding of multiple clients (e.g., corporate accounts). |
No information available |
|
24/7 Technical Support Round-the-clock access to technical helpdesk. |
24/7 support access is advertised. | |
|
Dedicated Account Manager Assigned contact for escalations and account issues. |
No information available | |
|
Comprehensive Knowledge Base Access to detailed documentation and self-help resources. |
Comprehensive online help/documentation provided. | |
|
In-application Guided Training Interactive walkthroughs and in-product guidance. |
No information available | |
|
Automated Software Updates System updates are rolled out automatically, minimizing disruption. |
Software updates handled automatically for all customers. | |
|
Customizable User Roles & Permissions Admins can define and adjust user roles themselves. |
No information available | |
|
System Health Dashboard Real-time visibility into system status. |
No information available | |
|
Incident Response Time Average time to respond to support tickets. |
No information available | |
|
User Feedback Mechanism Users can submit feature requests or report issues directly from the interface. |
In-product feedback/feature requests option mentioned in help section. | |
|
Update Release Notes Detailed notes accompany each system update. |
Release notes for every update are emailed/published according to support documentation. |
This data was generated by an AI system. Please check
with the supplier. More here
While you are talking to them, please let them know that they need to update their entry.