Information governance platform with document management, records management, workflow automation, and collaboration tools designed to help financial firms manage client information while meeting compliance requirements.
More about Objective Corporation
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. |
Product emphasizes secure document storage and compliance. Encryption at rest is typical for platforms meeting financial compliance. | |
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Encryption in Transit Data is encrypted while being transferred between users and servers. |
Security for data in transit is a baseline for regulated financial platforms. The product targets compliance, suggesting SSL/TLS/HTTPS. | |
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Role-based Access Control Allows assignment of access to documents based on user roles or job titles. |
Role-based access control is mentioned in reference architectures and demos on Objective's site. | |
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Multi-factor Authentication Requires more than one form of user authentication to access the system. |
Multi-factor authentication is referenced in Objective security documentation as available/configurable. | |
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Granular Permission Settings Ability to set permissions at folder, document, and user levels. |
Granular permissions at user/group/document/folder level are standard in Objective DMS solutions. | |
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Audit Trails Comprehensive logging of all actions, access, and modifications for compliance and security review. |
Audit trails are explicitly supported for compliance/regulatory review in Objective ECM. | |
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Single Sign-On (SSO) Supports integration with enterprise SSO providers for unified authentication. |
Product supports enterprise SSO/SAML/LDAP integration per technical whitepapers. | |
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IP Whitelisting Restricts access to the system from approved IP ranges only. |
IP Whitelisting is described in admin/security controls in Objective ECM platform documentation. | |
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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 markets advanced data loss prevention as a compliance/security feature. | |
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Automatic Session Timeouts Sessions automatically log out users after a period of inactivity. |
Automatic session timeout/inactivity logout referenced in Objective user guides. | |
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SSL/TLS Support Supports secure socket layers/transport layer security protocols. |
SSL/TLS is standard for all Objective cloud and on-prem solutions. | |
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Secure Mobile Access Enables mobile users to securely access documents through dedicated apps or browsers. |
Mobile app with secure authentication and encrypted document access is 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. |
Objective's document management supports custom metadata tagging. | |
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Full-text Search Search capability allowing retrieval of documents based on content, not just filenames or metadata. |
Full-text search available across content and metadata. | |
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Folder Hierarchy Support Supports nested folder structures for document categorization. |
Folder/nested folder support is standard in the platform's organization system. | |
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Version Control Keeps track of document versions and changes over time. |
Document versioning/version control is included per product guide. | |
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Bulk Upload/Download Users can upload or download multiple documents at once. |
Bulk upload/download is supported for user convenience—which is frequently asked for in RFPs. | |
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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. |
Drag-and-drop file upload is showcased in Objective ECM UI demos. | |
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Document Preview Displays previews of documents without requiring download. |
Document preview in-browser (for PDFs, Office) is supported by the product. | |
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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. |
Retention policy automation, for defensible deletion, is a major feature for compliance. | |
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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 classification highlighted as a workflow enabler. |
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FINRA/SEC Compliance Features Built-in tools and controls for meeting brokerage documentation regulations. |
Multiple references to FINRA/SEC compliance and related controls. | |
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Data Retention Compliance Automatically enforces legal retention periods for client records. |
Retention schedules and compliance locks are advertised as key compliance features. | |
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WORM Storage Option Write Once Read Many (WORM) support to prevent document alteration. |
WORM storage is listed as available or contractible for regulatory archives. | |
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Legal Hold Mechanism Ability to restrict deletion or modification of documents under investigation. |
Legal hold/restriction on delete is supported and is a must for compliance archiving. | |
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Compliance Reporting Generates reports demonstrating adherence to compliance policies. |
Compliance reporting forms a pillar of Objective's financial offering. | |
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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. |
Tamper-evident logs are marketed for audit/compliance trail defensibility. | |
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Electronic Signature Compliance Adheres to e-sign regulations (e.g., ESIGN, UETA) for legal acceptance. |
Electronic signature solutions are integrated and compliant with ESIGN/UETA. | |
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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. |
GDPR and CCPA compliance is referenced in Objective DMS privacy/disclosure policies. | |
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Chain of Custody Tracking Logs all handlers of a document for legal defensibility. |
Chain of custody logs available for audit and legal retention. | |
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SOC2/ISO Compliance Certification System has third-party certification for security and privacy controls. |
SOC2 certification highlighted on website. ISO 27001 references available for DMS solutions. |
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Intuitive User Interface System has a user-friendly and intuitive design. |
UI/UX is a repeated selling point in product marketing. | |
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Customizable Dashboards Users can personalize home screens and document views. |
Dashboard customization features shown in product walkthroughs. | |
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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. |
Multilanguage UI support referenced for global financial customers. | |
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Mobile Responsive Design Interface works on desktops, tablets, and smartphones. |
Mobile responsive design is available, per Objective ECM brochures. | |
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Bulk Actions Allows users to apply actions (delete, move, tag) to multiple files at once. |
Bulk actions (move, delete, tag) visible in solution screenshots. | |
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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. |
User-controlled notification/alert profiles are referenced in online help. | |
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Keyboard Shortcuts Enhanced navigation and functions through shortcut keys. |
Keyboard shortcuts/hotkeys are mentioned in product user guides. | |
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Offline Access Ability to access documents without internet connectivity. |
Offline document access is offered through the mobile app and desktop client. |
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Shared Workspaces Create shared folders or spaces for specific teams or projects. |
Product proposes workspace/folder concepts for team/project sharing. | |
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Commenting & Annotations Enables users to comment or annotate documents. |
Commenting and annotation on documents described as collaboration features. | |
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Automated Approval Workflows Route documents for review, approval, and sign-off automatically. |
Workflow engine supports automated approval/review for financial service processes. | |
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Task Assignments Assign document-related tasks to specific users or roles. |
Task assignment and workflow to users/roles is built-in. | |
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E-mail Notification Integration Automatically sends notifications about document changes or actions. |
Email notifications are standard for workflow/document status changes. | |
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Real-Time Collaboration Multiple users can edit/view a document simultaneously. |
Real-time collaboration and simultaneous document editing cited in newer platform releases. | |
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External Guest Access Allows sharing specific documents with external parties securely. |
External guest/document sharing is available with secure link/permissioning. | |
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Document Locking Prevents conflicts by restricting editing access when another user is editing. |
Document locking to prevent edit conflicts is available. | |
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Workflow Template Library Library of pre-built workflows for common brokerage tasks. |
Workflow templates for common processes are available for financial verticals. | |
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Automated Reminders System can send reminders for pending reviews or signatures. |
Automated reminders (email, app notification) are built into workflow. |
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Open API Access Provides documented API for connecting with other platforms. |
REST/Open API documentation available for integrations. | |
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CRM Integration Ability to link with popular customer relationship management systems. |
CRM integration cited for Salesforce, Microsoft Dynamics, etc. | |
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e-Signature Platform Integration Works with DocuSign, Adobe Sign, or other e-signature services. |
e-signature platform integrations (DocuSign, Adobe, etc.) available and partner listed. | |
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Email Client Integration Directly send/receive/store documents from email. |
Email client integration is referenced in product features (send/store from Outlook). | |
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Core Brokerage Platform Integration Ability to integrate with account opening, trading, and compliance systems. |
Integration with core financial platforms is described in industry solution briefs. | |
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Cloud Storage Integration Link with systems like Box, Dropbox, or OneDrive. |
Cloud storage integration (Box, Dropbox) advertised as connectors/options. | |
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Webhooks/Notifications API Emit automated notifications to other systems on document changes. |
Webhooks and notifications API mentioned for real-time alerting. | |
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Bulk Data Import/Export Mass-migration and synchronization capabilities for documents and metadata. |
Bulk import/export for migration and data exchange is supported. | |
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Custom Workflow Integration Define and connect external workflow automations. |
Workflow integration with external systems/processes is stated as configurable. | |
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Custom Fields & Mapping Ability to map document properties to external system fields. |
Custom fields and field mappings for integration are available, per API docs. |
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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 is an explicit offering for Objective Cloud and private hosting. | |
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Redundant Data Centers Geographically diverse backups and failover capabilities. |
Global redundant data centers are mentioned for cloud resilience. | |
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Load Balancing Distributes requests evenly across infrastructure for high availability. |
Load balancing features are part of Objective's cloud architecture. | |
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24/7 Monitoring Continuous monitoring of system health and performance. |
Continuous/24x7 monitoring listed in the Objective platform security section. | |
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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. |
Documents are indexed upon upload and available for search immediately, as promoted in search materials. | |
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Scheduled Maintenance Window Notifications Advance notifications of maintenance to minimize interruption. |
Maintenance window notifications are referenced for enterprise change management. |
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Client Portal Access Secure area where clients can view, upload, and download documents. |
Client portal is a core part of the objective solution for FS. | |
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Self-service Document Requests Clients can request specific documents or forms from within the portal. |
Self-service document/form request tools are referenced in marketing brochures. | |
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E-signature Collection Integrated collection of client e-signatures on key documents. |
Collecting e-signatures from clients is supported and integrated. | |
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Secure Messaging Exchange confidential messages and documents with clients. |
Secure messaging for client communication included in digital portal. | |
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White-label Branding Customize the portal to include your branding and logos. |
White-label/branding controls are core to customer portal customization. | |
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Notification of Document Availability Automatically notify clients when a document is available for their review. |
Automated notification to clients of document availability is built-in. | |
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Privilege Differentiation Set different access levels for clients (e.g., view-only, download, upload). |
Client permission levels (read, download, upload, etc.) can be set. | |
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Client Activity Tracking Shows when clients accessed, downloaded, or signed documents. |
All client actions tracked for compliance and security. | |
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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 and reporting featured in Objective reporting modules. | |
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Custom Report Builder Users can create custom reports from system data. |
Custom report builder included in analytics/reports. | |
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Exportable Reports Reports can be exported in multiple formats (PDF, CSV, XLS). |
Export reports in PDF, CSV, XLS—export options in report UI. | |
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Document Access Reports Shows who accessed documents and when. |
Document access reporting is a standard feature for audit. | |
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Regulatory Compliance Reports Automated reporting for regular financial audits and compliance reviews. |
Regulatory compliance reporting is core to the financial services focus. | |
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Trend Analysis Identifies usage patterns over time. |
Trend analysis available in analytics/reporting dashboards. | |
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Real-time Dashboards Instantly updated dashboards with key document and usage statistics. |
Real-time dashboards form part of the reporting module. | |
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Failed Access Attempt Reporting Tracks and reports unauthorized or failed access attempts. |
Failed access logging and reporting for anomalous behavior detection. | |
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Automated Scheduled Reports Delivers reports on a configurable schedule to selected users. |
Automatic/scheduled report delivery is built-in. |
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Onboarding Workflow Support Pre-built workflows for new client onboarding documentation. |
Client onboarding workflow templates available and cited in solution docs. | |
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KYC Document Collection Dedicated process for collecting and verifying KYC/AML documents. |
KYC/AML document workflow and validation supported. | |
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Automated Form Filling System can auto-populate forms based on client data. |
Automated form filling available for repeated compliance/onboarding processes. | |
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Document Expiry Tracking Tracks expiration dates and sends renewal reminders for required documents. |
Document expiry/renewal tracking for client and compliance documents is built-in. | |
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Change-of-Address Automation Facilitates the update of client records and documents when address changes are made. |
Change-of-address workflow for client records is referenced. | |
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Account Closure Documentation Automates collection and filing of documents required to close accounts. |
Account closure document automation referenced for financial/brokerage clients. | |
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E-signature for Account Opening Supports electronic signing of new account opening documents. |
E-signature for account opening is supported and cited as a compliance add-on. | |
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Archived Account Management Ability to retain and manage documentation of closed or archived accounts. |
Archived account management/workflows covered in retention/purge automation. | |
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Document Completeness Checks Automated system ensures all required client documents are present. |
Completeness check for client documentation is part of the onboarding workflow. | |
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Bulk Onboarding Support for simultaneous onboarding of multiple clients (e.g., corporate accounts). |
Bulk onboarding for large-scale/corporate accounts is available. |
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24/7 Technical Support Round-the-clock access to technical helpdesk. |
24/7 technical support is available for enterprise contracts per service docs. | |
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Dedicated Account Manager Assigned contact for escalations and account issues. |
Dedicated account manager offered for enterprise/regulated clients. | |
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Comprehensive Knowledge Base Access to detailed documentation and self-help resources. |
Comprehensive knowledge base/self-help portal available. | |
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In-application Guided Training Interactive walkthroughs and in-product guidance. |
In-product guided tours and training referenced in user onboarding materials. | |
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Automated Software Updates System updates are rolled out automatically, minimizing disruption. |
Automated updates (cloud) described as default; on-premises as option. | |
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Customizable User Roles & Permissions Admins can define and adjust user roles themselves. |
User role/permission customization is available for admin users. | |
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System Health Dashboard Real-time visibility into system status. |
System health/status dashboard available for tenant admins. | |
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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. |
End-user feedback/feature submission systems are referenced in support materials. | |
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Update Release Notes Detailed notes accompany each system update. |
Update and release notes are published for administrators. |
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