Laserfiche ECM for Broker-Dealers Jeffrey Green Director of Strategic Services, Laserfiche

A GLOBAL COMMUNITY OF LEADERS AND EVANGELISTS 28 Years of Innovation Focused resources for product advancement and market development Comprehensive support program for customer training and community building Strong partnership with key industry vendors A GLOBAL COMMUNITY OF LEADERS AND EVANGELISTS 5+ MILLION USERS 35,000+ ORGANIZATIONS

Rated strong on easy implementation and upgrade Laserfiche Presence in Financial Services Over 25 years of experience in designing process solutions for wealth management firms, and financial services institutions Comprehensive integrated solutions with key industry applications and partners, enabling streamlined and scalable operations Featured by industry expert as one of the five essential technology tools in 2015 Named finalist for the 2015 Industry Award for the Document Management and Technology Innovation categories Rated strong on easy implementation and upgrade

Laserfiche ECM System Topology Business Process Management Electronic Forms Multi-Channel Capture Laserfiche Content Server Workflow Engine Enterprise Search Laserfiche Servers Document Imaging Records Management Document Management Document Distribution Laserfiche is relatively unique in that it employs an integrated architecture with the major components of an ECM solution – document imaging, document management and records management – baked into the core server functionality. The integrated architecture and bundled licensing model give us the ability to layer different functionalities transparently while providing a personalized experience based on user and role – this is something that Ashely will show in a number of different ways during the demo. Filling out the functional portfolio of Laserfiche are a thoughtful set of configurable tools – some are bundled and some are add-ons – that have all been developed by Laserfiche and designed to work together including… Governance, Risk & Compliance Document Management

Laserfiche ECM System Topology Business Process Management Electronic Forms Multi-Channel Capture Mobile Capture MFP and Network Capture and Import Photo Capture Electronic Import e-Form Capture High-Volume Import Multi-Channel Capture Mobile Capture MFP and Network Capture and Import Photo Capture Electronic Import e-Form Capture High-Volume Import Laserfiche Content Server Workflow Engine Enterprise Search Laserfiche Servers Document Imaging Records Management Document Management Document Distribution Multi-Channel Capture We’ve done a lot of work to build a ton of flexibility into the capture tools we bundle to give our customers choices when it comes to their capture strategy. We offer an advanced capture platform that can perform document recognition, data extraction, validation and auto-classification but that process can be de-coupled from the capture device. That means you can automatically process document regardless of how they’re captured – they could be scanned or attached to a form that’s submitted. They could be pictures taken from a phone running one of our mobile apps. Since our document processing platform was developed specifically to work with Laserfiche, you can effectively “scan” documents from a repository, process them and put them back in the right place. This encourages organizations to push capture out to the point of content creation and gets information into the repository sooner than other systems. That means information is secured and accessible right away and you have a complete picture of any document’s lifecycle. Governance, Risk & Compliance Document Management

Laserfiche ECM System Topology Business Process Management Pre-built Workflows Custom Notifications and Triggers C# and VB.NET Script Editor Search and Reporting Interface Electronic Forms Form Builder BPMN Routing Task Management Mobile Approval Reports Electronic Forms Business Process Management Pre-built Workflows Custom Notifications and Triggers C# and VB.NET Script Editor Search and Reporting Interface Multi-Channel Capture Mobile Capture MFP and Network Capture and Import Photo Capture Electronic Import e-Form Capture High-Volume Import Laserfiche Content Server Workflow Engine Enterprise Search Laserfiche Servers Document Imaging Records Management Document Management Document Distribution Laserfiche does a really nice job of making powerful business process management – or automation – tools accessible to more than a select group of highly technical users. The business process tools Laserfiche provides are scalable – in that anyone could create a simple but useful forms driven process on one end of the spectrum while experienced developers can create custom data connectors and workflow activities that – literally – turn the lights on in a City’s facilities as a scheduled business process. Straightforward, higher level business processes can be created using an intuitive web-based and BPMN compliant modelling tool through Laserfiche Forms. More detailed and complex processes are defined in Laserfiche Workflow and can be called as part of a processes created in Forms. Laserfiche Workflow uses an intuitive canvas based drag and drop interface with a top-down process flow. We provide a toolbox with more than 100 preconfigured workflow activities including integration tools and activities specific to Outlook and SharePoint. Governance, Risk & Compliance Governance, Risk and Compliance DoD 5015.2-certified Records Management VERS-compliant Electronic Records Management Wizard-based Audit Trail Configuration Audit Trail Reporting Digital Signatures Document Management Version Control Basic and Advanced Search Unified Metadata Models Bundled OCR/ Full-text Indexing Document Management

Laserfiche ECM System Topology Business Process Management Pre-built Workflows Custom Notifications and Triggers C# and VB.NET Script Editor Search and Reporting Interface Electronic Forms Form Builder BPMN Routing Task Management Mobile Approval Reports Electronic Forms Form Builder BPMN Routing Task Management Mobile Approval Reports Multi-Channel Capture Mobile Capture MFP and Network Capture and Import Photo Capture Electronic Import e-Form Capture High-Volume Import Laserfiche Content Server Workflow Engine Enterprise Search Laserfiche Servers Document Imaging Records Management Document Management Document Distribution We already touched on Laserfiche Forms as it relates to automating business processes but it’s worth calling out Forms specific functionality. Forms are designed and published using an intuitive web-based tool where elements are simple dragged from the toolbox onto the form WYSIWYG style. Forms can be simple or contain advanced logic related to what’s displayed when, fields can be populated in real-time through database lookups and functionality as well as look and feel can be extended using Java Script and CSS. Governance, Risk & Compliance Governance, Risk and Compliance DoD 5015.2-certified Records Management VERS-compliant Electronic Records Management Wizard-based Audit Trail Configuration Audit Trail Reporting Digital Signatures Document Management Version Control Basic and Advanced Search Unified Metadata Models Bundled OCR/ Full-text Indexing Document Management

Laserfiche ECM System Topology Business Process Management Pre-built Workflows Custom Notifications and Triggers C# and VB.NET Script Editor Search and Reporting Interface Electronic Forms Form Builder BPMN Routing Task Management Mobile Approval Reports Document Distribution Web Public Portal Portable Archives Desktop, Web and Mobile Clients Multi-Channel Capture Mobile Capture MFP and Network Capture and Import Photo Capture Electronic Import e-Form Capture High-Volume Import Laserfiche Content Server Workflow Engine Enterprise Search Laserfiche Servers Document Imaging Records Management Document Management Document Distribution Web Public Portal Portable Archives Desktop, Web and Mobile Clients In terms of document distribution we try to make sure users are able to interact with information in the proper context so we give clients their choice of interface. The Windows, Web and Mobile client interfaces are bundled with Laserfiche Rio. We offer a simple to customize portal for wider distribution – like public documents for government agencies. We also make it easy to provide access to documents through other applications. Laserfiche is a WebDAV server so every document and folder can be accessed through a unique URL – and Workflow even has an activity to create those URLs dynamically. We also offer a non-programmatic integration tool that allows you to access documents in Laserfiche directly from other applications. Governance, Risk and Compliance DoD 5015.2-certified Records Management VERS-compliant Electronic Records Management Wizard-based Audit Trail Configuration Audit Trail Reporting Digital Signatures Governance, Risk & Compliance Document Management Version Control Basic and Advanced Search Unified Metadata Models Bundled OCR/ Full-text Indexing Document Management

Laserfiche ECM System Topology Business Process Management Pre-built Workflows Custom Notifications and Triggers C# and VB.NET Script Editor Search and Reporting Interface Electronic Forms Form Builder BPMN Routing Task Management Mobile Approval Reports Document Management Version Control Basic and Advanced Search Unified Metadata Models Bundled OCR/ Full-text Indexing Multi-Channel Capture Mobile Capture MFP and Network Capture and Import Photo Capture Electronic Import e-Form Capture High-Volume Import Laserfiche Content Server Workflow Engine Enterprise Search Laserfiche Servers Document Imaging Records Management Document Management Document Distribution Web Public Portal Portable Archives Desktop, Web and Mobile Clients As I mentioned earlier, the core components of an ECM system – including Document Management – are baked into the Laserfiche Content Server. Version control, check-in/out, simple and advance searching and ad-hoc reporting are all just part of the core software. Governance, Risk and Compliance DoD 5015.2-certified Records Management VERS-compliant Electronic Records Management Wizard-based Audit Trail Configuration Audit Trail Reporting Digital Signatures Governance, Risk & Compliance Document Management Version Control Basic and Advanced Search Unified Metadata Models Bundled OCR/ Full-text Indexing

Laserfiche ECM System Topology Business Process Management Pre-built Workflows Custom Notifications and Triggers C# and VB.NET Script Editor Search and Reporting Interface Electronic Forms Form Builder BPMN Routing Task Management Mobile Approval Reports Governance, Risk and Compliance DoD 5015.2-certified Records Management VERS-compliant Electronic Records Management Wizard-based Audit Trail Configuration Audit Trail Reporting Digital Signatures Multi-Channel Capture Mobile Capture MFP and Network Capture and Import Photo Capture Electronic Import e-Form Capture High-Volume Import Laserfiche Content Server Workflow Engine Enterprise Search Laserfiche Servers Document Imaging Records Management Document Management Document Distribution Web Public Portal Portable Archives Desktop, Web and Mobile Clients One of the things that really distinguishes Laserfiche is the way Governance and Compliance can be baked into the foundation of a system without adding overhead or impacting the way users interact with information. The capture tools and workflow system can automatically classify information based on business and record keeping rules. While documents are filed in the appropriate record series where they inherit retention instructions, users access information through context appropriate views so they don’t have to know about or participate in the records management practice. Governance, Risk and Compliance DoD 5015.2-certified Records Management VERS-compliant Electronic Records Management Wizard-based Audit Trail Configuration Audit Trail Reporting Digital Signatures Document Management Version Control Basic and Advanced Search Unified Metadata Models Bundled OCR/ Full-text Indexing

Laserfiche ECM System Topology CRM System Financial Planning System Email Server Business Process Management Pre-built Workflows Custom Notifications and Triggers C# and VB.NET Script Editor Search and Reporting Interface Electronic Forms Form Builder BPMN Routing Task Management Mobile Approval Reports Web Users Mobile Users Business Applications Databases Smartphones Tablets Network Folders Business Applications Databases Multi-Channel Capture Mobile Capture MFP and Network Capture and Import Photo Capture Electronic Import e-Form Capture High-Volume Import Laserfiche Content Server Workflow Engine Enterprise Search Laserfiche Servers Document Imaging Records Management Document Management Document Distribution Web Public Portal Portable Archives Desktop, Web and Mobile Clients Web Browser CD, DVD, Portable Hardrive, USB Drive Email Applications The sum of all this functionality is what allows us to provide the right information to the right people in the proper context. It makes Laserfiche the hub of document and process related information in an organization that keeps other systems up to date. It can be deployed and configured in a minimal amount of time but it can also be expanded and extended to meet the needs of a particular customer or market. Audit Files Web Browser Governance, Risk and Compliance DoD 5015.2-certified Records Management VERS-compliant Electronic Records Management Wizard-based Audit Trail Configuration Audit Trail Reporting Digital Signatures Document Management Version Control Basic and Advanced Search Unified Metadata Models Bundled OCR/ Full-text Indexing Advisors Customers Custodians Broker-Dealers

Process Automation Across Financial Services Firms Governance, Risk & Compliance Information Security Publish & Preserve Content Capture Check for Compliance Review & Approval ECM Process Blotter Processing New Account Opening Audit Review Check Processing Foreign Asset Control New Deposit Account Opening Human Resources Accounts Payable Loan Origination Processing $

Laserfiche ECM for Broker-Dealers Jeffrey Green Director of Strategic Services, Laserfiche