internal use only. not for redistribution or dissemination in any manner. blue ocean blue ocean...

INTERNAL USE ONLY. NOT FOR REDISTRIBUTION OR DISSEMINATION IN ANY MANNER.

Blue OceanRedefining Financial Services Technology

Blue Oceans are typically created from Red Ocean companies

expanding & redefining industry deliverables.

The phrase ‘Blue Ocean’ has been around for about 10-years,

but the concept isn’t new.

Some of the best-known companies changed their industries.


Goodyear

Otis Elevator

Ford Motor

CompanyMcDonald’s

DuPont

Carrier

Corporation

General Electric Diners Club

Pan Am

Southwest

Airlines

Lloyd’s of London

Microsoft


Blue Ocean Companies

That changed business…Bayer

RCA

Eli McCormick

Company

AT&T

Apple

Sony

Standard

Oil

A & PMax

Factor

Google

ColtWestinghouse

Red Ocean represents much of the traditional

financial services technology deployed today.

It has many competitors and limiting capabilities.


Blue Ocean representsnewer financial services

technology beginning to be deployed.

It has few competitors and provides differentiation thru

innovation.


Graph of Value Innovation


Red Ocean vs. Blue Ocean

Struggle to differentiate your firm from the competition.

Offer the same solutions as everyone else.

Use paper-based processes supported by dated technology.

Offer higher payouts OR lower affiliation fees.

Sometime win or mostly lose proposition.

Differentiate your BD by modernizing your processes.

Provide Advisors the new standard of something better.

Offer an end-to-end solution that’s less expensive than even a few of the components.

Create a WIN—WIN scenario!


The premise is simple…

The only way to beat the competition is to stop

trying to beat the competition.


Entirely Paperless. Entirely Secure. Entirely

Compliant.INTERNAL USE ONLY. NOT FOR REDISTRIBUTION OR DISSEMINATION IN ANY MANNER.


Founded in 2002:

Focused on financial services.

Based in Los Angeles, CA.

Introduced STP in 2009.

Staffed by industry pros.

Deployed at hundreds of

financial services firms:

125,000+ end-users.

Fortune 500 financial firms.

Specialty BDs & RIAs.

Largest SEC/FINRA

compliant provider.

Client Centric:

Advisory Council.

Highly-configurable solutions.

Unique deployment methodology.

Docupace Overview

Client Sampling100% Project

Success Rate

ePACS Straight-thru-Processing®

ePACS Eligibility & Suitability Review®

ePACS Ad Review®

ePACS Advisor Onboarding®

ePACS Account Transitions®

ePACS Data Room®

ePACS Compliant Mail Service®


ePACS®

Productivity Suite

INTERNAL USE ONLY. NOT FOR REDISTRIBUTION OR DISSEMINATION IN ANY MANNER .

ePACS®

Productivity Suite


Advisor Experience

• StartingPoint.

• Electronic smart forms.

• CRM integrations.

• Data validations.

• The ultimate NIGO Killer.

• Eligibility & Suitability reviews.

• e-Signatures.

• Check 21 funds eProcessing.

• Client Channel portal.

• Electronic business submission.

• Business monitoring dashboard.

• Compliant document storage.

• SEC 204-2.

• HIPAA.

ePACS®

STP Overview

Home Office Experience

•Compliance workflows.•

Branch/OSJ review.

•Business rules.

•eStamp.

•Business dashboard.

•Configurable queues.

•eSubmission to product sponsor.

•WORM document storage.•

Automatic indexing.

•Book and Records:

•Compliant.

•SEC 17a(3)-17a(4).

•HIPAA.

•Free audit support.


Maintain Compliance

ePACS Advisor On-boarding

®

Simplifies the new advisor on-boarding process.

Enhances recruiting efforts.

Provides for electronic completion of all required

forms:

Pre-hire Questionnaire

Rep Profile

FINRA U-4 & U-5

Outside Business Activity (OBA)

Investment Advisory registrations

State securities registrations

Insurance carrier appointments

eSignaturing saves time & money!

Complete tracking for the BD to monitor progress.

Safe, compliant storage for future audit.

Ensure Accuracy


1. Define—Test—GO! Transition Assistant site:

Configured to your firm’s requirements.

Rep-only access to maintain privacy.

2. Gather permitted client data:

Advisor completes fillable spreadsheet.

3. Data loaded by Docupace into Transition Assistant.

4. Online advisor review of pre-filled forms:

Approve or Update.

5. Clients execution of completed forms:

eSign or Print for ‘wet’ signature.

6. Broker Dealer final processing.

Make Account

Transfers Easy

ePACS Transition Assistant ®

Move a Book-of-Business

in as Little as 30-days!


ePACS Compliant Mail

®

Automated secure electronic delivery of required

client mailings.

New Account Letters:

Account verifications.

Suitability.

Welcome kits.

Annual Disclosures:

Privacy practices.

Recordkeeping.

Business activities.

Powerful workflow engine drives errors out of the

process.

Reduces costs from paper-based mailing by as much as

80%.

Provides individual proof-of-receipt.

Guaranteed Price

& Performance

Eliminates Risk!


Simplify Negotiations

ePACS Data Room ®

Create a secure virtual office for shared document

collaboration.

Perfect for multi-party transactions

Contract Negotiations

Major Purchases

Mergers & Acquisitions

Annual Report

HR Documents

Financial Statements

Large Projects

Efficiently manage, access and modify

secure documents

Ability to attach notes and rich document indexing.

Audit trail with user, date & time stamp.


ePACS Centralized Vault

®

Aggregate all your documents in

a disaster-proof virtual vault.

SEC/FINRA Compliant Repository.

Books & Records.

Automated indexing provides

robust search & retrieval capabilities.

Secure Web-based access.

Free audit support.

internal use only. not for redistribution or dissemination in any manner. blue ocean blue ocean...

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