The Modern Document Management
Solution for Financial Services

With over 30 years’ experience within the Financial Services sector,
we have seen significant regulatory changes requiring organisations
to amend, improve or change their existing working practices.

Find out how Watermark can provide the best document management solution for you.

GDPR compliant document management software

Having a trusted partner who provides server based document management software and cloud software as a service (SaaS) is essential to your core business.

Our solutions are trusted and used by financial services; designed for easy adoption and simple to use, yet incorporating all the features required on a day-to-day basis. Our software is GDPR compliant, meaning greater data protection.

Full version control with document and user audit trails

Fact Finds, Suitability Reports, Client Agreements, Risk Profiling, Letters, Research, etc. are all held under full version control with full document and user audit trails.

System audits monitor:

  • User actions
  • Document tracking and movement
  • Page tracking
  • Document change/version control
  • All of which, contain hyperlinks directly to the document in question

Standardised file structures make compliance easy

Template driven files make compliance simpler to implement and easier to follow with standardised file structures.

  • Automated option for swift, stable file setup
  • Ensure files are kept clear, concise and consistent
  • Ability to restrict a user’s behaviour, so you always know where things are

GDPR compliant solutions meaning greater data protection

There is no need to worry about losing a document – all user actions have audit trails and documents cannot accidentally be permanently removed.

  • Deleted documents automatically go into the user’s recycle bin
  • Recycle bins can be included in system-wide document searches, all of which are governed by system security

Soon to replace the Data Protection Act, the General Data Protection Regulation (GDPR) is set to have an impact on how data is kept and stored across Europe. With large fines possible, compliance with GDPR is paramount. As the GDPR incorporates ‘the right to erasure’, or ‘the right to be forgotten’, it is possible for individuals to request the removal of their personal data from a system if there is no ‘compelling reason’ for it to remain there. Our solutions are GDPR compliant; documents can be quickly and easily located via full OCR and text search capabilities, and if required, can be permanently removed from the system (dependent on user access rights). 

Any file type, including phone conversations stored in a client file

The recording of phone conversations is now commonplace and can be stored in the client file, alongside any other relevant document file type.

Under the final Mifid II rules, according to the regulator; “advisers are required to record conversations that result in a transaction being undertaken or that are intended to result in a transaction being undertaken.” (Chapter 19: Taping)

Unique portal access – providing instant, real time file access – anytime, anywhere

Visiting clients has never been easier, as Volume enables remote, portal access via the Internet using mobile devices.  Utilising the device’s camera, images can also be uploaded.

  • No requirement to download documents in order to access them
  • Provides instant, real time, live and secure access to client files and documents

Client and third party file access

Clients and third parties can have file access via a portal, if required.

  • Instant access to live, interactive data across the Internet
  • Corporate branding available
  • Can also be embedded in your website

Stay secure and compliant in the cloud – we adhere to best practice

Our cloud technology means your data is held securely under ISO 27001 controls.

  • Fast, effective data access
  • Ransomware resilient
  • Adhering to international information security best practices
  • Be rest assured of our quality and standards of document storage software and data security

Alternatively, data can be held utilising your existing IT infrastructure, should this solution better suit your business requirements.

Case Studies

[Utilising Watermark Technologies solutions] enables us to organise our files in a particularly efficient manner and more than that, it enables us to also share our data very easily.

Antony Ransom

Chartered Financial Planner, Ransom IFA

It’s efficient. It’s cost effective. The response time if there is a problem is first-class and actually for me, it is user friendly … Watermark Technologies has helped to transform our business.

Mark Taylor

Executive Director, The Taylor Partnership

Watermark has really helped us improve our service and our speed and we can see that with their new developments being brought online that they’re going to be able to help us in the future too.

Roger Gaunt

MD, Gauntlet Risk Management Ltd

Interested in transforming your business?

Get in touch for a no obligation demonstration

or call us 01274 535090