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Financial Service Organizations Around the World Are Increasing Productivity and Improving Customer Service with Treeno Electronic Document Management Solutions

Financial service organizations of all types and sizes face intense economic, regulatory and competitive pressures. Organizations must find efficient ways to satisfy these requirements while keeping costs to a minimum.

Treeno Electronic Document Management (EDM) assists organizations with a variety of compliance initiatives including:

  • Security Exchange Commission (SEC)
  • Financial Industry Regulatory Authority (FINRA)
  • Sarbanes Oxley Act of 2002 (SOX)
  • Health Insurance Portability and Accountability Act (HIPAA)


To maintain a competitive advantage, organizations must deliver high quality customer service while lowering operational costs. The typical office handles tens of thousands of documents and images each year requiring the allocation of physical space to store client applications, trade confirmations, wealth management documents, client financial statements, loan agreements and client correspondence. The majority of this information is handled through inefficient, manual processes with the assumption that an automated system is too costly, too disruptive to existing workflow management processes, and too difficult to use.

Treeno EDM offers an easy-to-use, yet powerful integrated document and workflow managementsystem that enables financial providers to store, access, manage, and share critical documents across a broad range of functions, departments and locations. With Treeno EDM, your professional staff has complete control of your content.

Find Documents with One Click

Treeno EDM can be seamlessly integrated with your client management systems for one-click filing and retrieval of documents. This allows you to decrease your processing time and costs and enhance your customers’ experience.

Automate Repetitive Processes

Automating your repetitive business processes like sign offs and client transactions provides measurable improvement in your productivity and customer service. Treeno document workflow automation (DWA) allows you to quickly and accurately move electronic documents through your workflow. With the help of Treeno’s detailed reports help, you can monitor the efficiency of your processes and make quick adjustments where necessary.

Ensure Regulatory Compliance

Treeno’s financial services solutions help you stay in compliance with SEC, FINRA and NASD regulations by providing secure, audited and unalterable access to financial transaction records that must remain secure for years.


Financial Privacy: The Gramm-Leach Bliley Act

The Financial Modernization Act of 1999, also known as the "Gramm-Leach-Bliley Act" or GLB Act, includes provisions to protect consumers' personal financial information held by financial institutions. There are two principal parts to the privacy requirements: the Financial Privacy Rule and the Safeguards Rule.

The Financial Privacy Rule governs the collection and disclosure of customers' personal financial information by financial institutions

The Safeguards Rule requires all financial institutions to design, implement and maintain safeguards to protect customer information

These two requirements apply to "financial institutions," which include not only banks, securities firms, and insurance companies, but also companies providing many other types of financial products and services to consumers. Among these services are lending, brokering or servicing any type of consumer loan, transferring or safeguarding money, preparing individual tax returns, providing financial advice or credit counseling, providing residential real estate settlement services, collecting consumer debts and an array of other activities.

The Federal Trade Commission has authority to enforce the law with respect to "financial institutions" including non-bank mortgage lenders, loan brokers, some financial or investment advisers, tax preparers, providers of real estate settlement services, and debt collectors

To implement its information security program, each financial institution must:

  • Designate an employee or employees to coordinate the program
  • Identify reasonably foreseeable internal and external risks to the security, confidentiality, and integrity of customer information and assess the sufficiency of any safeguards in place to control the risks
  • Design and implement safeguards to address the risks and monitor the effectiveness of these safeguards
  • Select and retain service providers that are capable of maintaining appropriate safeguards for the information and require them, by contract, to implement and maintain such safeguards
  • Adjust the information security program in light of developments that may materially affect the program

Learn how we can help

The MFP is the natural link and onramp between information and the way people use and access it, which is why EDC offers a comprehensive suite designed to provide our clients with a scalable approach to uploading and securing confidential information. For more information on how EDC can help meet your privacy needs, please call 1 (800) 540-1123

For more information on GLB, please see the Federal Trade Commission website at: http://www.ftc.gov/privacy/glbact/.