Enables secure storage, efficient retrieval, and workflow automation for all documents related to client onboarding and ongoing client servicing in investment management and brokerage environments. Supports regulatory compliance and integrates with client communication tools.
Solutions for securely storing, retrieving, and managing client documents, contracts, and account paperwork with appropriate access controls.
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Encryption at Rest Documents are encrypted while stored in the system. |
Finastra positions Fusion Invest Document Management as a secure repository, which suggests encryption at rest is provided to satisfy security/compliance requirements in the industry. | |
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Encryption in Transit Data is encrypted while being transferred between users and servers. |
Product marketed for secure data handling; encryption in transit is industry standard and implied for client and document security. | |
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Role-based Access Control Allows assignment of access to documents based on user roles or job titles. |
Workflow automation and regulatory compliance requirements imply presence of role-based access control. | |
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Multi-factor Authentication Requires more than one form of user authentication to access the system. |
Multi-factor authentication is referenced as an industry standard for this vertical; likely required for regulatory compliance. | |
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Granular Permission Settings Ability to set permissions at folder, document, and user levels. |
No information available | |
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Audit Trails Comprehensive logging of all actions, access, and modifications for compliance and security review. |
Audit trails are listed as a compliance feature for regulatory purposes on the product marketing materials. | |
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Single Sign-On (SSO) Supports integration with enterprise SSO providers for unified authentication. |
No information available | |
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IP Whitelisting Restricts access to the system from approved IP ranges only. |
No information available | |
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Time-based Access Restrictions Limits system access to specific times for certain users or groups. |
No information available | |
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Data Loss Prevention (DLP) Prevents sensitive information from being improperly accessed or shared. |
Product supports compliance and secure storage; DLP is likely part of the offering for regulatory customer base. | |
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Automatic Session Timeouts Sessions automatically log out users after a period of inactivity. |
No information available | |
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SSL/TLS Support Supports secure socket layers/transport layer security protocols. |
SSL/TLS support is standard for secure document management platforms and is implied by documentation. | |
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Secure Mobile Access Enables mobile users to securely access documents through dedicated apps or browsers. |
No information available |
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Unlimited Storage Capacity Maximum amount of storage available for documents. |
No information available | |
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Metadata Tagging Ability to attach custom metadata to documents for advanced organization. |
Metadata tagging is basic for any organized DMS with workflow automation. | |
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Full-text Search Search capability allowing retrieval of documents based on content, not just filenames or metadata. |
Product highlights document retrieval; full-text search is typically included in such document management systems. | |
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Folder Hierarchy Support Supports nested folder structures for document categorization. |
Folder hierarchy is a common feature for DMS. Actual documentation confirms structured document organization. | |
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Version Control Keeps track of document versions and changes over time. |
Version control is referred to under audit, compliance, and change tracking. | |
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Bulk Upload/Download Users can upload or download multiple documents at once. |
Bulk upload/download is indicated under 'efficient workflows' and mass onboarding. | |
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Document Templates Pre-defined templates for common documents and forms. |
No information available | |
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Drag-and-Drop Upload Allows users to upload files by dragging them into the browser window. |
No information available | |
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Document Preview Displays previews of documents without requiring download. |
No information available | |
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Duplicate Detection Identifies and flags potential duplicate files. |
No information available | |
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Retention Policies Automated rules for keeping or purging documents after a specified period. |
Product supports retention policies for compliance, as referenced in public product documentation. | |
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Check-in/Check-out Functionality Prevents conflicting edits by locking documents when being edited. |
No information available | |
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Automated Filing Automatically files incoming documents into correct folders/sections based on rules. |
Automated filing and workflow routing are promoted as productivity features. |
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FINRA/SEC Compliance Features Built-in tools and controls for meeting brokerage documentation regulations. |
Explicitly supports FINRA/SEC compliance according to product datasheet and targeting brokerage. | |
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Data Retention Compliance Automatically enforces legal retention periods for client records. |
Data/Document retention compliance is cited as a core offering for regulatory documentation. | |
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WORM Storage Option Write Once Read Many (WORM) support to prevent document alteration. |
No information available | |
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Legal Hold Mechanism Ability to restrict deletion or modification of documents under investigation. |
No information available | |
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Compliance Reporting Generates reports demonstrating adherence to compliance policies. |
Compliance reporting is mentioned in regulatory and audit support capabilities. | |
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Automated Regulatory Updates Updates retention policies and workflows in response to new laws or regulations. |
No information available | |
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Tamper Evident Document Logs Shows clear evidence if records are altered. |
No information available | |
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Electronic Signature Compliance Adheres to e-sign regulations (e.g., ESIGN, UETA) for legal acceptance. |
No information available | |
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Privacy Impact Assessment Tools Helps assess and document how the system complies with privacy regulations. |
No information available | |
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GDPR/CCPA Support Supports requirements for European and California data privacy laws. |
Product claims to support GDPR/CCPA requirements for client documentation and privacy. | |
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Chain of Custody Tracking Logs all handlers of a document for legal defensibility. |
No information available | |
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SOC2/ISO Compliance Certification System has third-party certification for security and privacy controls. |
Finastra highlights third-party certifications (incl. SOC2, ISO) to evidence investment-grade security. |
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Intuitive User Interface System has a user-friendly and intuitive design. |
Marketed as 'easy to use' for advisors and back office; suggests an intuitive interface. | |
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Customizable Dashboards Users can personalize home screens and document views. |
No information available | |
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Accessibility Compliance Comply with WCAG/ADA standards for users with disabilities. |
No information available | |
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Multi-language Support Provides user interface and documentation in multiple languages. |
No information available | |
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Mobile Responsive Design Interface works on desktops, tablets, and smartphones. |
No information available | |
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Bulk Actions Allows users to apply actions (delete, move, tag) to multiple files at once. |
Bulk actions are supported (batch uploading, moving, deleting documents) as referenced in efficiency features. | |
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Favorites/Bookmarks Users can bookmark frequently accessed documents. |
No information available | |
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Recently Accessed Files Quick access to recently viewed or edited documents. |
No information available | |
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Personalized Notification Settings Users can specify which system alerts or notifications they receive. |
No information available | |
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Keyboard Shortcuts Enhanced navigation and functions through shortcut keys. |
No information available | |
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Offline Access Ability to access documents without internet connectivity. |
No information available |
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Shared Workspaces Create shared folders or spaces for specific teams or projects. |
Workflow automation and role-based file sharing (including teams) suggests presence of shared workspaces. | |
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Commenting & Annotations Enables users to comment or annotate documents. |
Annotations and comments are commonly included for collaboration on onboarding and compliance documents. | |
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Automated Approval Workflows Route documents for review, approval, and sign-off automatically. |
Product is promoted for workflow automation for approvals and document processing. | |
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Task Assignments Assign document-related tasks to specific users or roles. |
No information available | |
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E-mail Notification Integration Automatically sends notifications about document changes or actions. |
Notified document status and workflow actions; email notification integration is standard in DMS for onboarding. | |
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Real-Time Collaboration Multiple users can edit/view a document simultaneously. |
Team collaboration tools typically include simultaneous viewing and editing for compliance and onboarding. | |
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External Guest Access Allows sharing specific documents with external parties securely. |
Secure sharing with external clients and parties is highlighted for client onboarding purposes. | |
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Document Locking Prevents conflicts by restricting editing access when another user is editing. |
No information available | |
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Workflow Template Library Library of pre-built workflows for common brokerage tasks. |
No information available | |
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Automated Reminders System can send reminders for pending reviews or signatures. |
No information available |
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Open API Access Provides documented API for connecting with other platforms. |
No information available | |
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CRM Integration Ability to link with popular customer relationship management systems. |
Fusion Invest Document Management integrates with CRM and other Finastra solutions; CRM integration is expected. | |
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e-Signature Platform Integration Works with DocuSign, Adobe Sign, or other e-signature services. |
Explicitly integrates with e-signature platforms for account opening and client servicing, as per Finastra documentation. | |
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Email Client Integration Directly send/receive/store documents from email. |
No information available | |
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Core Brokerage Platform Integration Ability to integrate with account opening, trading, and compliance systems. |
Designed for investment management/brokerage use, integrations with account opening and compliance systems are emphasized. | |
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Cloud Storage Integration Link with systems like Box, Dropbox, or OneDrive. |
No information available | |
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Webhooks/Notifications API Emit automated notifications to other systems on document changes. |
No information available | |
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Bulk Data Import/Export Mass-migration and synchronization capabilities for documents and metadata. |
Able to import/export and synchronize client and document data for onboarding and migration, as described by vendor. | |
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Custom Workflow Integration Define and connect external workflow automations. |
No information available | |
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Custom Fields & Mapping Ability to map document properties to external system fields. |
No information available |
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System Uptime SLA Guaranteed percentage of system availability. |
No information available | |
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Document Retrieval Speed Average time to retrieve a document. |
No information available | |
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Disaster Recovery Capabilities Built-in features for backup and disaster recovery. |
Disaster recovery and business continuity are frequently referenced as a core risk management/prudence feature. | |
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Redundant Data Centers Geographically diverse backups and failover capabilities. |
No information available | |
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Load Balancing Distributes requests evenly across infrastructure for high availability. |
No information available | |
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24/7 Monitoring Continuous monitoring of system health and performance. |
No information available | |
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Auto-scaling Infrastructure Dynamically scales resources based on system load. |
No information available | |
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Instant Document Indexing Documents are indexed and searchable immediately upon upload. |
No information available | |
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Scheduled Maintenance Window Notifications Advance notifications of maintenance to minimize interruption. |
No information available |
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Client Portal Access Secure area where clients can view, upload, and download documents. |
Product notes mention dedicated client portal for document uploads, downloads, and secure transmission. | |
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Self-service Document Requests Clients can request specific documents or forms from within the portal. |
Clients can request and submit documentation via portal as per onboarding automation features. | |
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E-signature Collection Integrated collection of client e-signatures on key documents. |
Collection of e-signatures for onboarding/account management is directly referenced. | |
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Secure Messaging Exchange confidential messages and documents with clients. |
Secure messaging for documents between advisor and client is part of Fusion Invest platform ecosystem. | |
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White-label Branding Customize the portal to include your branding and logos. |
No information available | |
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Notification of Document Availability Automatically notify clients when a document is available for their review. |
Clients are notified of document availability and workflow actions. | |
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Privilege Differentiation Set different access levels for clients (e.g., view-only, download, upload). |
No information available | |
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Client Activity Tracking Shows when clients accessed, downloaded, or signed documents. |
Tracks client/document activity for compliance and audit. | |
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Download Limits/Controls Restricts the frequency or volume of client downloads. |
No information available |
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Usage Analytics Tracks metrics on document access, uploads, and downloads. |
Usage analytics for document access and handling are available for regulatory/customer insight. | |
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Custom Report Builder Users can create custom reports from system data. |
Custom report generation is included for audit, compliance, and workflow management. | |
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Exportable Reports Reports can be exported in multiple formats (PDF, CSV, XLS). |
Reports can be exported in various formats to support outside audit and business reporting processes. | |
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Document Access Reports Shows who accessed documents and when. |
Records show who accessed and modified documents, fulfilling audit/compliance requirements. | |
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Regulatory Compliance Reports Automated reporting for regular financial audits and compliance reviews. |
Regulatory reporting is part of the compliance workflow for investment/brokerage firms. | |
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Trend Analysis Identifies usage patterns over time. |
No information available | |
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Real-time Dashboards Instantly updated dashboards with key document and usage statistics. |
No information available | |
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Failed Access Attempt Reporting Tracks and reports unauthorized or failed access attempts. |
No information available | |
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Automated Scheduled Reports Delivers reports on a configurable schedule to selected users. |
No information available |
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Onboarding Workflow Support Pre-built workflows for new client onboarding documentation. |
Streamlined onboarding and document process management referenced as a key product benefit. | |
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KYC Document Collection Dedicated process for collecting and verifying KYC/AML documents. |
Explicit KYC/AML document collection is part of client onboarding workflows. | |
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Automated Form Filling System can auto-populate forms based on client data. |
Automated form filling based on existing client data is a feature in onboarding workflow management. | |
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Document Expiry Tracking Tracks expiration dates and sends renewal reminders for required documents. |
No information available | |
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Change-of-Address Automation Facilitates the update of client records and documents when address changes are made. |
No information available | |
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Account Closure Documentation Automates collection and filing of documents required to close accounts. |
No information available | |
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E-signature for Account Opening Supports electronic signing of new account opening documents. |
E-signature supported for account opening as required in FCA/FINRA/SEC regulations. | |
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Archived Account Management Ability to retain and manage documentation of closed or archived accounts. |
No information available | |
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Document Completeness Checks Automated system ensures all required client documents are present. |
Automated completeness checks ensure all onboarding documents are present before submission. | |
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Bulk Onboarding Support for simultaneous onboarding of multiple clients (e.g., corporate accounts). |
No information available |
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24/7 Technical Support Round-the-clock access to technical helpdesk. |
No information available | |
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Dedicated Account Manager Assigned contact for escalations and account issues. |
No information available | |
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Comprehensive Knowledge Base Access to detailed documentation and self-help resources. |
No information available | |
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In-application Guided Training Interactive walkthroughs and in-product guidance. |
No information available | |
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Automated Software Updates System updates are rolled out automatically, minimizing disruption. |
No information available | |
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Customizable User Roles & Permissions Admins can define and adjust user roles themselves. |
No information available | |
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System Health Dashboard Real-time visibility into system status. |
No information available | |
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Incident Response Time Average time to respond to support tickets. |
No information available | |
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User Feedback Mechanism Users can submit feature requests or report issues directly from the interface. |
No information available | |
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Update Release Notes Detailed notes accompany each system update. |
No information available |
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