Cloud-based document management system with automated workflows, secure file sharing, role-based permissions, and compliance features. Includes tools specifically designed for financial services firms such as SEC/FINRA compliance features and client portal access.
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. |
Rubex documentation and marketing state 'at rest and in transit encryption', suitable for financial and regulatory compliance. | |
|
Encryption in Transit Data is encrypted while being transferred between users and servers. |
The product states use of end-to-end encryption which includes 'in transit' protection. | |
|
Role-based Access Control Allows assignment of access to documents based on user roles or job titles. |
Role-based access control is a highlighted feature (permissions by user, group, or role). | |
|
Multi-factor Authentication Requires more than one form of user authentication to access the system. |
Rubex offers multi-factor authentication according to the security section of their site. | |
|
Granular Permission Settings Ability to set permissions at folder, document, and user levels. |
Granular permission management is listed (set permissions at cabinet, folder, document, and user level). | |
|
Audit Trails Comprehensive logging of all actions, access, and modifications for compliance and security review. |
Audit trails (activity logs) are available for compliance audits. | |
|
Single Sign-On (SSO) Supports integration with enterprise SSO providers for unified authentication. |
SSO is supported via SAML; listed as an enterprise authentication option. | |
|
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. |
Rubex advertises data loss prevention tools aligned with regulatory requirements. | |
|
Automatic Session Timeouts Sessions automatically log out users after a period of inactivity. |
Session timeout is configurable according to admin settings. | |
|
SSL/TLS Support Supports secure socket layers/transport layer security protocols. |
SSL/TLS support indicated for all web and API communications. | |
|
Secure Mobile Access Enables mobile users to securely access documents through dedicated apps or browsers. |
Mobile apps and secure mobile/browser access are advertised. |
|
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. |
Extensive metadata tagging (custom fields, search by tags) is available. | |
|
Full-text Search Search capability allowing retrieval of documents based on content, not just filenames or metadata. |
Full-text search is promoted as a major feature. | |
|
Folder Hierarchy Support Supports nested folder structures for document categorization. |
Folder hierarchy and nested folder/cabinet structures are supported. | |
|
Version Control Keeps track of document versions and changes over time. |
Rubex provides version control for document management. | |
|
Bulk Upload/Download Users can upload or download multiple documents at once. |
Bulk upload/download features are described in platform documentation. | |
|
Document Templates Pre-defined templates for common documents and forms. |
Pre-built and custom document templates supported, especially for onboarding and compliance. | |
|
Drag-and-Drop Upload Allows users to upload files by dragging them into the browser window. |
Drag-and-drop upload is available in the web interface. | |
|
Document Preview Displays previews of documents without requiring download. |
Document preview in browser without download is supported. | |
|
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 automation and policy-based document lifecycle controls advertised. | |
|
Check-in/Check-out Functionality Prevents conflicting edits by locking documents when being edited. |
Document check-in/check-out (lock/unlock) available for collaboration management. | |
|
Automated Filing Automatically files incoming documents into correct folders/sections based on rules. |
Automated filing is stated as a feature using rules and templates. |
|
FINRA/SEC Compliance Features Built-in tools and controls for meeting brokerage documentation regulations. |
Rubex advertises SEC/FINRA-specific compliance features for financial clients. | |
|
Data Retention Compliance Automatically enforces legal retention periods for client records. |
Automatic retention compliance scheduling for legal/data retention requirements. | |
|
WORM Storage Option Write Once Read Many (WORM) support to prevent document alteration. |
WORM storage options available for compliance storage, cited on product pages. | |
|
Legal Hold Mechanism Ability to restrict deletion or modification of documents under investigation. |
Legal hold is specifically mentioned for litigation/document control. | |
|
Compliance Reporting Generates reports demonstrating adherence to compliance policies. |
Compliance reporting is cited in documentation and marketing as being present. | |
|
Automated Regulatory Updates Updates retention policies and workflows in response to new laws or regulations. |
Rubex advertises regulatory update tracking impacting retention and workflow. | |
|
Tamper Evident Document Logs Shows clear evidence if records are altered. |
Audit and logs are described as tamper-evident in marketing. | |
|
Electronic Signature Compliance Adheres to e-sign regulations (e.g., ESIGN, UETA) for legal acceptance. |
Compliance with ESIGN/UETA and e-signature legality explicitly described. | |
|
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. |
GDPR/CCPA support described for sensitive financial data clients. | |
|
Chain of Custody Tracking Logs all handlers of a document for legal defensibility. |
Chain of custody logging and audit for legal defensibility is highlighted. | |
|
SOC2/ISO Compliance Certification System has third-party certification for security and privacy controls. |
SOC2 and ISO certifications are cited for the system. |
|
Intuitive User Interface System has a user-friendly and intuitive design. |
Design is marketed as easy-to-use, intuitive with customer testimonials. | |
|
Customizable Dashboards Users can personalize home screens and document views. |
Dashboards can be customized by user or admin. | |
|
Accessibility Compliance Comply with WCAG/ADA standards for users with disabilities. |
Complies with ADA/WCAG according to compliance section of documentation. | |
|
Multi-language Support Provides user interface and documentation in multiple languages. |
No information available | |
|
Mobile Responsive Design Interface works on desktops, tablets, and smartphones. |
Interface adapts to desktop, tablet, mobile browser use. | |
|
Bulk Actions Allows users to apply actions (delete, move, tag) to multiple files at once. |
Bulk actions (move, delete, tag) are supported on listed files. | |
|
Favorites/Bookmarks Users can bookmark frequently accessed documents. |
No information available | |
|
Recently Accessed Files Quick access to recently viewed or edited documents. |
No information available | |
|
Personalized Notification Settings Users can specify which system alerts or notifications they receive. |
Notification settings can be personalized per user. | |
|
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. |
Team-based shared folders and workspaces are present. | |
|
Commenting & Annotations Enables users to comment or annotate documents. |
Annotation and document commenting features are available. | |
|
Automated Approval Workflows Route documents for review, approval, and sign-off automatically. |
Automated workflow routing for approvals/sign-offs described in financial use case articles. | |
|
Task Assignments Assign document-related tasks to specific users or roles. |
Within team or to clients, document task assignment is present (task, notify, track). | |
|
E-mail Notification Integration Automatically sends notifications about document changes or actions. |
E-mail notification for document uploads, changes, activity are built in. | |
|
Real-Time Collaboration Multiple users can edit/view a document simultaneously. |
Not as far as we are aware.* Simultaneous live editing does not appear in documentation; commenting/collaboration is present but not real-time editing. | |
|
External Guest Access Allows sharing specific documents with external parties securely. |
Guest and secure link access for external sharing are supported. | |
|
Document Locking Prevents conflicts by restricting editing access when another user is editing. |
Document locking/editing prevention is provided through check-in/out and workflow. | |
|
Workflow Template Library Library of pre-built workflows for common brokerage tasks. |
Pre-set workflow templates for onboarding, compliance, etc., are available. | |
|
Automated Reminders System can send reminders for pending reviews or signatures. |
Automated reminders are sent for required doc review/completion/signature. |
|
Open API Access Provides documented API for connecting with other platforms. |
Open API and developer documentation provided for integrations. | |
|
CRM Integration Ability to link with popular customer relationship management systems. |
CRM integrations are promoted (e.g., Salesforce integration listed). | |
|
e-Signature Platform Integration Works with DocuSign, Adobe Sign, or other e-signature services. |
Integrates with DocuSign and other e-signature providers. | |
|
Email Client Integration Directly send/receive/store documents from email. |
E-mail client integration included for capturing and storing emails. | |
|
Core Brokerage Platform Integration Ability to integrate with account opening, trading, and compliance systems. |
Core brokerage/trading/compliance system integration highlighted. | |
|
Cloud Storage Integration Link with systems like Box, Dropbox, or OneDrive. |
Connectors for Box, OneDrive, Dropbox, and others are mentioned. | |
|
Webhooks/Notifications API Emit automated notifications to other systems on document changes. |
Webhooks and outbound notifications available to other platforms. | |
|
Bulk Data Import/Export Mass-migration and synchronization capabilities for documents and metadata. |
Bulk data import/export is listed in onboarding & migration solutions. | |
|
Custom Workflow Integration Define and connect external workflow automations. |
Workflow customization and integration with third-party automations is supported. | |
|
Custom Fields & Mapping Ability to map document properties to external system fields. |
Custom field mapping to external systems 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. |
Disaster recovery/cloud backup and restoration advertised. | |
|
Redundant Data Centers Geographically diverse backups and failover capabilities. |
Multi-geo cloud storage, redundancy for disaster recovery listed. | |
|
Load Balancing Distributes requests evenly across infrastructure for high availability. |
Load balancing and scalable infrastructure included as features. | |
|
24/7 Monitoring Continuous monitoring of system health and performance. |
24/7 system health monitoring described. | |
|
Auto-scaling Infrastructure Dynamically scales resources based on system load. |
Auto-scaling based on workload mentioned for enterprise performance. | |
|
Instant Document Indexing Documents are indexed and searchable immediately upon upload. |
Immediate indexing and search upon upload claimed. | |
|
Scheduled Maintenance Window Notifications Advance notifications of maintenance to minimize interruption. |
Maintenance notifications and planned downtime advisory are part of the admin interface. |
|
Client Portal Access Secure area where clients can view, upload, and download documents. |
Client portals are designed for secure client access and uploads. | |
|
Self-service Document Requests Clients can request specific documents or forms from within the portal. |
Clients can request documents/forms from the portal. | |
|
E-signature Collection Integrated collection of client e-signatures on key documents. |
Integrated client e-signature collection is supported. | |
|
Secure Messaging Exchange confidential messages and documents with clients. |
Secure client messaging is built-in for confidential communications. | |
|
White-label Branding Customize the portal to include your branding and logos. |
White-label portal branding for firms. | |
|
Notification of Document Availability Automatically notify clients when a document is available for their review. |
Client notification for new/reviewable documents is enabled. | |
|
Privilege Differentiation Set different access levels for clients (e.g., view-only, download, upload). |
Admin can set privilege levels including read/download/upload. | |
|
Client Activity Tracking Shows when clients accessed, downloaded, or signed documents. |
Client activity and access tracking in portal audit log. | |
|
Download Limits/Controls Restricts the frequency or volume of client downloads. |
No information available |
|
Usage Analytics Tracks metrics on document access, uploads, and downloads. |
Usage analytics on docs, users, and access documented. | |
|
Custom Report Builder Users can create custom reports from system data. |
Custom report generation and export supported. | |
|
Exportable Reports Reports can be exported in multiple formats (PDF, CSV, XLS). |
Reports can be exported as PDF, XLS and CSV. | |
|
Document Access Reports Shows who accessed documents and when. |
Document access reporting by user/date available. | |
|
Regulatory Compliance Reports Automated reporting for regular financial audits and compliance reviews. |
Regulatory compliance reporting is highlighted. | |
|
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 with current system and usage metrics. | |
|
Failed Access Attempt Reporting Tracks and reports unauthorized or failed access attempts. |
Failed access and unauthorized attempt reporting present. | |
|
Automated Scheduled Reports Delivers reports on a configurable schedule to selected users. |
Automated scheduled reporting is available to users. |
|
Onboarding Workflow Support Pre-built workflows for new client onboarding documentation. |
Onboarding workflow templates for financial and brokerage docs. | |
|
KYC Document Collection Dedicated process for collecting and verifying KYC/AML documents. |
Dedicated KYC/AML doc collection process for finserv clients. | |
|
Automated Form Filling System can auto-populate forms based on client data. |
Automated form fill using client data (for onboarding). | |
|
Document Expiry Tracking Tracks expiration dates and sends renewal reminders for required documents. |
Automatic document expiry tracking and notification featured. | |
|
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. |
Account closure documentation workflow is present. | |
|
E-signature for Account Opening Supports electronic signing of new account opening documents. |
E-sign for client account opening is specifically supported. | |
|
Archived Account Management Ability to retain and manage documentation of closed or archived accounts. |
Archived/closed account document management is supported. | |
|
Document Completeness Checks Automated system ensures all required client documents are present. |
Document completeness tracker is a Rubex feature. | |
|
Bulk Onboarding Support for simultaneous onboarding of multiple clients (e.g., corporate accounts). |
Bulk onboarding with template import supported. |
|
24/7 Technical Support Round-the-clock access to technical helpdesk. |
24/7 technical support is advertised for enterprise clients. | |
|
Dedicated Account Manager Assigned contact for escalations and account issues. |
Dedicated account manager for enterprise plans. | |
|
Comprehensive Knowledge Base Access to detailed documentation and self-help resources. |
Comprehensive knowledge base and online help portal. | |
|
In-application Guided Training Interactive walkthroughs and in-product guidance. |
Interactive training and in-product walk-throughs available. | |
|
Automated Software Updates System updates are rolled out automatically, minimizing disruption. |
Automated software updates occur regularly with notes. | |
|
Customizable User Roles & Permissions Admins can define and adjust user roles themselves. |
Admins configure custom user roles and permission groups. | |
|
System Health Dashboard Real-time visibility into system status. |
Sys health dashboard is available to admins. | |
|
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. |
User feedback system for product improvement is built in. | |
|
Update Release Notes Detailed notes accompany each system update. |
Release notes provided with each feature/upate roll-out. |
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.