AI-powered document management for financial advisors and wealth managers. Delivers metadata-driven document classification, secure storage, version and access control, automated workflows, and support for FINRA, SEC, and GDPR compliance.
Secure platforms for storing, organizing, and retrieving client financial documents, legal agreements, account applications, and compliance records with version control and audit trails.
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Data Encryption All documents and data are encrypted both in transit and at rest to ensure confidentiality and compliance. |
M-Files advertises secure storage and compliance with FINRA/SEC/GDPR, which implies encryption at rest and in transit. | |
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Role-based Access Control Ability to set granular permissions based on user roles (e.g., advisor, client, admin). |
Role-based access and permission controls are core to M-Files' document management offering. | |
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Multi-Factor Authentication (MFA) Provides an extra layer of authentication security for user logins. |
Multi-factor authentication available per security documentation from M-Files. | |
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Audit Trails Complete logs of document access, changes, downloads, and shares for legal and compliance purposes. |
Audit logs and version control are explicitly supported features per marketing and technical docs. | |
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Regulatory Compliance Certifications Adherence to standards such as SEC, FINRA, GDPR, or other required regulatory frameworks. |
Compliance certifications listed include FINRA/SEC/GDPR. | |
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Data Retention Policies Automated enforcement of document retention and deletion policies to meet compliance standards. |
Automated retention and deletion policies are supported for compliance. | |
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Legal Hold Capability Ability to preserve documents for legal discovery without alteration or deletion. |
Legal hold functions described as part of compliance workflow. | |
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Secure External Sharing Controlled and secure sharing of documents with external parties, such as clients or legal teams. |
Secure sharing with external parties, such as clients, is a promoted feature. | |
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Watermarking Option to automatically add watermarks to documents for tracking and leakage prevention. |
Automated watermarking is included as a security measure. | |
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Intrusion Detection Ability to monitor and detect suspicious or unauthorized access attempts. |
M-Files provides monitoring for suspicious/unusual activity. |
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Custom Folder Structures Allows for creation and management of folders and subfolders tailored to workflow needs. |
Flexible folder and workspace structures are a documented feature. | |
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Advanced Search Full-text and metadata search capabilities for rapid document retrieval. |
Metadata-driven advanced search is a major value proposition. | |
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Tagging and Metadata Ability to assign and manage tags or metadata to organize documents by client, document type, or workflow stage. |
Tagging and metadata assignment form the core of M-Files' approach. | |
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Optical Character Recognition (OCR) Enables searching and indexing of scanned or image-based documents. |
OCR is available for document digitization and search. | |
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Saved Search Queries Allows users to save frequently used search criteria for quick access. |
Saved or reusable search queries are supported per product guides. | |
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Bulk Document Import Supports batch uploading or ingestion of multiple documents at once. |
Bulk import and ingestion of documents is a platform feature. | |
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Versioning Tracks and stores multiple versions of a document with easy rollback. |
Document versioning with rollback supported. | |
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Document Linking Link related documents together for easier navigation (e.g., account opening forms and supporting IDs). |
Document linking is available through metadata relationships. | |
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Favorites/Shortcuts Option for users to pin or favorite frequently accessed documents or folders. |
Favorites and shortcuts available in user workspace. | |
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Indexing Speed Speed with which new documents are indexed and made searchable. |
No information available |
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Check-in/Check-out Prevents document editing conflicts by locking files when in use. |
Check-in/check-out for document locking is supported. | |
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Comments and Annotations Allows users to leave internal comments and annotations on documents. |
System supports internal comments and annotations. | |
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Approval Workflows Customizable workflows for document review and approval (e.g., compliance sign-offs). |
Workflow automation includes approval steps. | |
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Task Assignment Ability to assign follow-up tasks linked to specific documents. |
Task assignment and tracking are part of M-Files workflow. | |
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Notification System Automatic alerts for document updates, approvals, reviews, or deadlines. |
Automated notifications and reminders are included. | |
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Shared Document Spaces Secure shared folders or spaces for team or client collaboration. |
Shared document spaces (workspaces) for teams and clients. | |
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Delegation Permissions Allow temporary delegated access for other team members in cases like advisor absence. |
Delegation and substitute user roles/permissions are documented. | |
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Simultaneous Editing Support for multiple users editing certain document types at the same time. |
Simultaneous editing for specific document types (e.g., Office) supported via integrations. | |
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Redlining/Track Changes Ability to track changes, edits, and suggestions within documents. |
Redline/track changes is present via Office add-ins. | |
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Document Routing Rules Automated routing of documents to the right individuals based on predefined rules. |
Workflow rules can automate routing. |
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CRM Integration Direct integration with CRM systems (e.g., Salesforce, Redtail). |
CRM integration is supported (e.g., Salesforce, Microsoft Dynamics). | |
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Portfolio Management Software (PMS) Integration Ability to link documents with portfolios and account information in PMS. |
No information available | |
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eSignature Providers Built-in integration with electronic signature platforms (e.g., DocuSign, Adobe Sign). |
eSignature integrations available (DocuSign, Adobe Sign, etc.). | |
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Document Export/Import APIs Availability of APIs for importing and exporting documents across platforms. |
Document import/export APIs are available. | |
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Calendar and Email Integration Ability to link document workflows to email/calendar events (e.g., compliance review reminders). |
M-Files integrates with Microsoft Outlook and other email/calendaring tools. | |
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Secure File Transfer Protocols Support for SFTP, FTPS, or similar protocols for automated file exchanges. |
Secure file transfer protocols (SFTP/FTPS) are supported. | |
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Custom Integration Capability Support for custom integrations with proprietary or less-common platforms through APIs or middleware. |
Custom integration via REST API/middleware is supported. | |
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Data Sync Frequency How often the system synchronizes data with connected platforms. |
No information available | |
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Single Sign-On (SSO) Supports identity management via SSO providers like Okta or Microsoft Active Directory. |
Supports SSO via AD, Azure AD, and other identity providers. | |
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Mobile App Integration Seamless document access and management through companion mobile applications. |
Mobile app integration is available for iOS/Android. |
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Customizable Client Portal White-labeled, branded portal for client document interactions. |
Customizable client portals available for branding and interaction. | |
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Self-Service Upload Clients can securely upload required documents directly to their advisor. |
Clients can upload documents securely via portal. | |
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Real-Time Document Notifications Clients receive alerts when new documents are shared or action is required. |
Real-time notification for document events available for clients. | |
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Document Expiration and Removal Auto-expire or remove documents from client view after a set period. |
No information available | |
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Client-Specific Access Rights Granular control over which documents each client can view or download. |
Client-specific access control built into permissions model. | |
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Secure Messaging Encrypted communication channel between client and advisor within the portal. |
No information available | |
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eSignature Collection Facilitates digital signing of agreements, forms, and disclosures. |
eSignature collection for forms is supported with integrated platforms. | |
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Portal Activity Logs Tracks all client activities in the portal for compliance. |
Portal activity logs are maintained for compliance. | |
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Mobile Client Portal Optimized or app-based portal access for mobile devices. |
Mobile-optimized client portals are available. | |
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Multi-Language Support Provides the client interface in multiple languages to support diverse clientele. |
No information available |
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Auto Document Ingestion Automatic import of documents from designated email addresses or folders. |
Auto-ingestion from email/folder sources is an advertised feature. | |
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Bulk Scanning Support Enables capture of multiple paper documents via high-speed scanners. |
Bulk scanning and high-volume ingestion are supported. | |
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Mobile Capture Capture and upload new documents via smartphone camera/app. |
Mobile capture is supported via app. | |
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Image Correction and Enhancement Automatic correction of skew, glare, or resolution in scanned documents. |
Image correction (skew/glare) is available through OCR and scanning features. | |
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Barcode/QR Code Recognition Automatic indexing and routing of documents by barcode or QR code. |
No information available | |
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Auto-Filing Rules Assigns incoming documents to the right folders and workflows based on document content or metadata. |
Auto-filing and workflow rules assign metadata and folder locations. | |
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Scan to PDF/A Compliance Ensures scanned files meet PDF/A long-term archival standards. |
PDF/A compliant options are described for archival needs. | |
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Capture Speed How many pages per minute the system can reliably scan and process. |
No information available | |
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Data Extraction (Forms) Automatic extraction of key information from standard forms for indexing or workflow initiation. |
Forms data extraction advertised with AI-driven capture. | |
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Fax-to-Document Conversion Transforms inbound faxes into indexed digital documents. |
No information available |
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Concurrent User Support Maximum number of users supported simultaneously without performance loss. |
No information available | |
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Document Storage Capacity Total amount of document data that can be stored per organization or deployment. |
No information available | |
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Upload/Download Speeds Average document upload and download speeds under standard conditions. |
No information available | |
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Number of Documents Supported Max number of documents system can index and manage efficiently. |
No information available | |
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Response Time Average system response time for common actions (search, open, save). |
No information available | |
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Automatic Load Balancing Ability to automatically distribute workload across servers for optimal performance. |
Cloud-native architecture provides automatic load balancing. | |
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Multi-Tenancy Supports multiple independent advisor firms or branches on the same infrastructure. |
Supports multiple branches/firms per documentation—multi-tenant readiness. | |
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Resource Monitoring Built-in tracking and alerts for storage and system resource utilization. |
Resource monitoring is available in admin interface. | |
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High Availability/Uptime Guarantees for system uptime and robust failover mechanisms. |
undefined 99.9% uptime SLA and high availability referenced in SaaS service agreements. |
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Elastic Scalability System can seamlessly scale resources up or down based on demand. |
Elastic scalability for cloud deployments is supported. |
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Modern User Interface Clean, up-to-date design adhering to best UX/UI standards. |
User interface adheres to modern usability and UX/UI standards. | |
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Customizable Dashboards Users can personalize layouts and widgets to suit their preferences. |
Customizable dashboards available to end users and admins. | |
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Accessible Design (ADA/WCAG) Interface is accessible to users with disabilities, complying with accessibility standards. |
No information available | |
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Bulk Actions Allows manipulation (move, delete, tag, share) of multiple documents at once. |
Bulk actions such as move/add/tag/delete are supported. | |
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Drag-and-Drop Upload Simple drag-and-drop capability for adding new documents. |
Drag-and-drop uploads featured in product screens and videos. | |
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User Onboarding Tutorials Guided help or tutorials for faster team ramp-up. |
User onboarding and tutorial content is included. | |
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In-app Support/Help Desk Contextual help, chat, or direct support embedded within the application. |
Chat/help and support ticket functions built into the app. | |
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Multi-device Compatibility Consistent experience across desktop, tablet, and mobile browsers. |
Multi-device compatibility, including desktop, mobile, and tablet, is promoted. | |
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Favorite/Recent Documents Widget Quick access panels for recent or starred files. |
Widgets for recent and favorite documents documented in UX. | |
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User Feedback Collection Tools Built-in channels for users to provide feedback to administrators or vendors. |
User feedback collection through in-app forms. |
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Pre-built Reports Library of standard reports for activity, compliance, and usage. |
Pre-built reports (compliance, activity) are available. | |
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Custom Report Builder Ability to configure custom analytics based on organization needs. |
Custom report builder available via reporting engine. | |
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Exportable Reports Download reports in various formats (CSV, PDF, XLSX) for further analysis. |
Reports exportable to CSV, PDF, and Excel. | |
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Usage Analytics Tracks user engagement and platform adoption metrics. |
Usage analytics dashboard available for admins. | |
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Compliance Dashboard One-stop visual tracking of compliance events (e.g., missing signatures, overdue reviews). |
Compliance dashboard for tracking signatures, reviews, and compliance issues. | |
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Scheduled Report Delivery Automatically generates and emails reports on a defined schedule. |
Automated and scheduled delivery of reports supported. | |
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Audit Trail Export Export full document audit logs for review or regulatory submission. |
Audit trail export available for compliance reviews. | |
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Real-time Analytics Refresh Rate Frequency with which analytics dashboards refresh data. |
No information available | |
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User Customizable Alerts Users/admins can configure alerts based on key report metrics. |
User-customizable alerts for compliance, review, and workflow events. | |
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Role-based Report Access Control which users or groups can access specific analytic or report types. |
Role-based report access is configurable. |
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User Management Full administrative control over user accounts, groups, and permissions. |
Full user management (accounts, groups, permissions) is supported. | |
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Automated Backups Regular, automated system and document backups for disaster recovery. |
Automated cloud and on-prem backups are available. | |
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Access Logs and Reports Detailed logs of all administrator actions for auditability. |
Admin activity/access logs available for audit. | |
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System Health Dashboard Real-time monitoring of key system metrics (CPU, memory, storage, connectivity). |
Real-time system health dashboard for admins is included. | |
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Update and Patch Management Automatic or manual deployment of software updates and security patches. |
Supports automated/manual update and patch management. | |
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Customizable Policies and Templates Controls for setting company standard document templates, retention, and naming conventions. |
Customizable templates, naming, and retention policies are configurable. | |
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Delegated Admin Roles Ability to grant limited administrative rights to designated users. |
Delegated admin roles are supported. | |
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API Key Management Tools for generating and managing secure access keys for integrations. |
API key management available for integration security. | |
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Bulk User Provisioning Efficient creation, updating, or disabling of multiple user accounts at once. |
Bulk user provisioning and directory sync available. | |
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Automated License Usage Alerts Warns administrators before license or resource limits are exceeded. |
License usage alerts available in admin dashboard. |
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Tiered Pricing Multiple subscription or licensing tiers for different organization sizes. |
Tiered pricing plans are available. | |
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Usage-based Billing Option to pay based on actual storage, user, or transaction volume. |
No information available | |
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Monthly/Annual Payment Options Flexible invoice or contract length options. |
Monthly and annual payment options are available per published pricing. | |
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No Long-term Contracts Ability to terminate service without multi-year commitments. |
No information available | |
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Transparent Fee Structure Clear, upfront disclosure of all fees and potential overage charges. |
Transparent fee structure; all costs are documented up front. | |
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Free Trial Availability Option to use the system with full or limited features before purchasing. |
Free trial available, as shown on M-Files signup page. | |
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Unlimited Document/Storage Plans Option for flat-fee, unlimited storage if required. |
Unlimited document/storage plans available with flat-fee options. | |
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Concurrent User Licensing Licensing based on peak number of concurrent users, not just total active accounts. |
No information available | |
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Add-on Module Pricing Ability to add new features or modules at additional cost as needs grow. |
Add-on module pricing for additional features (AI, integrations). | |
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Nonprofit or Multi-entity Discounts Special pricing for large enterprises or networks of independent advisors. |
Discounts and custom pricing available for large/multientity clients per sales literature. |
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