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SS&C Documentum for Fund Management from SS&C Technologies
Comprehensive document management system tailored for fund operations, featuring automated workflow processing, regulatory compliance tracking, investor document management, audit trails, and integration with fund accounting systems.
Product analysis by function
Document Management Systems for Fund Operations
Platforms for storing, organizing, retrieving, and managing electronic documents related to fund operations, including statements, confirmations, legal documentation, and other records.
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Document Storage and Organization
(12 Yes /12 Known /14 Possible features)
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Folder Hierarchies Ability to organize documents within nested folders and subfolders for logical grouping of records. |
Documentum supports folder and subfolder organization as part of its document repository architecture. | |
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Tagging and Metadata Ability to assign tags and metadata (such as document type, date, and fund name) to enhance search and classification. |
Tagging and extensive metadata assignment are part of Documentum's classification and search features. | |
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Bulk Upload Upload multiple documents at once to improve efficiency. |
Enables bulk upload for efficiency—a standard capability listed in enterprise documentation systems. | |
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Version Control Track and manage multiple versions of a document with rollback and history features. |
Documentum has version control, including full history and rollback, as part of compliance support. | |
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Document Templates Pre-defined templates for frequently used document types. |
Supports reuse of document templates to standardize workflows for fund documentation. | |
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OCR (Optical Character Recognition) Ability to extract text from scanned or imaged documents to enhance searchability. |
Optical Character Recognition is cited as core for searchability of scanned investor communications. | |
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Document Size Limit Maximum allowed size per uploaded document. |
No information available | |
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Overall Storage Capacity Total document storage capacity provided by the system. |
No information available | |
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Drag-and-Drop Upload User-friendly drag-and-drop interface for adding documents. |
User-friendly drag-and-drop uploading is typical of modern document management UIs; referenced in product overview. | |
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Automatic File Naming Conventions Ability to standardize naming of documents during upload or save. |
Standardization of file naming on upload mentioned in practices for regulatory compliance and recordkeeping. | |
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Duplicate Detection Identification and warning about duplicate document uploads. |
Duplicate file detection/alerts are included to prevent errors in large-scale investor reporting. | |
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Document Retention Policies Enforce retention, archiving, and deletion rules based on policy and compliance. |
Supports configurable document retention policies for compliance with SEC, MiFID, and fund mandates. | |
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Audit Log Track all actions performed on documents for compliance and monitoring. |
Detailed audit logging is specifically mentioned for compliance monitoring and tracking document actions. | |
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Custom Taxonomy Support Support for building customized taxonomies according to fund needs. |
Custom taxonomy configuration is prominent, supporting bespoke fund and investor structures. |
Document Access and Security
(11 Yes /11 Known /14 Possible features)
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Role-Based Access Control Granular access permissions based on user roles. |
Role-based access controls are fundamental and extensively outlined in security documentation. | |
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Single Sign-On (SSO) Integration Integration with enterprise SSO providers for authentication. |
Enterprise Single Sign-On integration (e.g., SAML/AD) covered in implementation guides. | |
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Two-Factor Authentication (2FA) Support for two-factor authentication for user logins. |
Two-factor authentication available for administrative and sensitive data access. | |
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Document Encryption (At Rest) Encryption of documents stored within the system. |
Document encryption at rest is a standard, as per vendor’s financial services security guidelines. | |
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Document Encryption (In Transit) Encryption using HTTPS/TLS during upload/download. |
Data encryption in transit via HTTPS/TLS is a baseline for all vendor cloud offerings. | |
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Watermarking Ability to watermark sensitive documents to deter unwanted sharing. |
No information available | |
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Expiry Links / Secure Sharing Time-bound and access-controlled sharing of document links. |
Secure sharing and expiring document links referenced as part of investor portal capabilities. | |
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Access Logging Detailed tracking of which users accessed which documents and when. |
Access logging is explicitly required for regulated financial documents, confirmed in system features. | |
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Granular Permission Settings Set permissions for view, edit, or download at the document or folder level. |
Granular permission management cited as a differentiator for handling sensitive fund agreements. | |
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IP Restrictions Restrict access based on IP address ranges. |
No information available | |
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User Activity Monitoring Monitor user activities related to document access and downloads in real time. |
User activity monitoring supported and configurable for risk and compliance audits. | |
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Remote Document Deletion Ability to remove access to documents remotely if needed (e.g., when permissions change). |
Remote document deletion/removal of permissions based on access changes is described in user management. | |
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Legal Hold Capabilities to place legal holds on documents for compliance or litigation purposes. |
Legal hold processes and associated compliance tools available for regulatory or court requirements. | |
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Data Loss Prevention (DLP) Integration Integrate with DLP solutions to prevent sensitive data exfiltration. |
No information available |
Search and Retrieval
(10 Yes /10 Known /13 Possible features)
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Full-Text Search Ability to search for keywords throughout document content. |
Full-text search is core; system supports search across document body and metadata. | |
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Advanced Search Filters Filter results by attributes such as date range, type, fund, tags, or uploader. |
Advanced filtering is showcased in search demonstrations (by date, type, fund, etc.). | |
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Search Speed Typical time to return results for a simple search. |
No information available | |
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Saved Search Queries Ability to save commonly used search configurations. |
Users can save and rerun searches, similar to watchlists for document review. | |
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Search Result Export Export search results to Excel, PDF, or other formats. |
Exporting of search results for reporting (Excel, PDF) is supported. | |
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Faceted Search Support for search refinement using hierarchical facets (i.e., fund, year, document type). |
Faceted search (by fund, year, type) is described in data navigation user guides. | |
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Multi-Language Search Support for search queries in multiple languages. |
No information available | |
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Recent Searches Access a personalized history of recent search queries. |
No information available | |
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Search Result Ranking Prioritize and order search results by relevance. |
Search result relevancy ranking is a core element of the search interface. | |
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Wildcard and Fuzzy Search Advanced search capabilities with partial matches or misspellings. |
Supports wildcards and fuzzy searches for document retrieval with incomplete information. | |
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Batch Retrieval Retrieve and download multiple documents with a single action. |
Batch retrieval/download of multiple documents described for investor/stakeholder communications. | |
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Quick Preview Preview contents of documents directly in the search results window. |
Preview window in search results facilitates quick review without download. | |
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Search Audit Trail Log and monitor search activities for compliance. |
Audit trail for searches available for compliance; cited in regulatory documentation. |
Workflow Automation and Collaboration
(12 Yes /12 Known /13 Possible features)
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Document Approval Workflows Support for custom approval flows, including multiple reviewers and sequential or parallel approval. |
Automated and customizable approval workflows are part of workflow automation features. | |
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Task Assignment Assign review or follow-up tasks related to specific documents. |
Task assignment embedded in workflow modules for fund operation review and follow-up. | |
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Workflow Templates Reusable workflow structures for recurring fund processes. |
Reusable workflow/approval templates are described in the workflow automation UI. | |
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Automated Reminders and Notifications Trigger email or system notifications based on workflow events (e.g., pending approvals, expiries). |
System sends notifications/reminders (email and within app) for workflow actions. | |
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Commenting and Threaded Discussions Support threaded communication on documents for context and audit trail. |
Threaded commenting is present for audit, context, and regulatory review. | |
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Document Checkout/Check-in Prevent conflicting edits by requiring check-out for editing and enforced check-in. |
Document checkout/check-in for edit control and audit tracking is explicitly included. | |
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e-Signature Integration Integration with electronic signature platforms for contract finalization. |
eSignature integration (DocuSign and others) available, noted in integration marketplace. | |
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Collaboration Limits Maximum number of simultaneous collaborators per document. |
No information available | |
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Automated Filing Automatic categorization or routing of documents based on metadata. |
Automated filing based on metadata is supported for high-volume fund documentation. | |
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Escalation Rules Automated escalation paths for overdue approvals or reviews. |
Escalation rules for overdue workflow or approvals are a listed feature. | |
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Workflow Status Dashboards Visual dashboards for workflow status, bottlenecks, and pending tasks. |
Workflow status dashboards included with visual indicators for pending/completed items. | |
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Integration with Communication Tools API or direct integration with email, Slack, Teams, or similar platforms. |
Integration with major communication tools (email, Slack, Teams) is supported for workflow updates. | |
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Workflow Audit Logs Detailed logs of workflow actions and status changes for compliance. |
Workflow audit logs are covered under comprehensive compliance features. |
Integration and Interoperability
(8 Yes /8 Known /12 Possible features)
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API Access Provision of RESTful or SOAP APIs to enable integration with external systems. |
Open API access for integration with external fund/accounting systems is advertised. | |
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Data Import/Export Support for importing and exporting data using CSV, XML, or other common formats. |
Data import/export (CSV, XML, etc.) is a standard integration feature. | |
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Integration with Core Fund Systems Direct connectivity with accounting, portfolio management, and trade order management platforms. |
Integration with fund accounting and portfolio management platforms (core fund systems) is a key differentiator. | |
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ERP Integration Capabilities to link with enterprise resource planning software. |
No information available | |
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Single Sign-On (SSO) Providers Supported Number of SSO providers that can be integrated. |
No information available | |
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Email System Integration Pull documents directly from corporate email for filing. |
Pull documents from email (for investor communications) is available as an automated import feature. | |
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Custom Script Support Support for deploying custom automation scripts. |
Custom scripting for workflow and automation supported in advanced configuration. | |
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Mobile App Integration APIs or connectors for use within mobile platforms. |
No information available | |
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Webhook Support Ability to trigger events in other systems via webhooks. |
Webhook support for real-time event notification to other systems is cited in technical documentation. | |
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Integration Marketplace Access to a marketplace of pre-built integrations (e.g., DocuSign, Salesforce). |
Integration marketplace includes pre-built connectors for e-signature and CRM solutions. | |
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SSO Protocols Supported Types of SSO protocols supported (e.g., OAuth, SAML, OpenID). |
No information available | |
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Third-party Audit Trail Integration Push audit data to third party GRC (Governance, Risk, and Compliance) platforms. |
Ability to push data to 3rd party GRC/compliance platforms covered in enterprise integrations. |
Compliance and Regulatory Features
(12 Yes /12 Known /12 Possible features)
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Regulation-Specific Retention Rules Configurable retention settings for compliance with SEC, MiFID, AIFMD, etc. |
Retention rules configurable for different regulations (SEC, AIFMD, MiFID), tailored for fund clients. | |
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WORM (Write Once, Read Many) Support Technological support for immutable storage required for compliance. |
WORM storage (immutable records) supported as a compliance feature for funds. | |
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Audit Trail Generation Automatic and comprehensive audit trail for user/document actions. |
Automatic, comprehensive audit trails for user and document activity guaranteed for regulatory defense. | |
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Access Certification Workflows Process for periodic recertification and validation of access rights. |
Access certification/recertification workflows for periodic user rights reviews are available. | |
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Legal Hold Management Support placing and removing legal holds for litigation readiness. |
Legal hold management for litigation readiness included (in conjunction with eDiscovery tools). | |
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GDPR and Privacy Support Controls and settings to satisfy GDPR and other privacy laws. |
Privacy (GDPR/SOX) controls and data subject rights support is part of compliance checklists. | |
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eDiscovery Tools Built-in support for document collection and export for audits or investigations. |
eDiscovery and audit-ready export functions included in compliance modules. | |
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Compliance Policy Enforcement Capabilities to enforce internal and regulatory document policies. |
Enforcement of internal/regulatory policies programmatically supported, with auditability. | |
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Automated Compliance Reporting Automatic generation of compliance status and incident reports. |
Automated compliance reporting functionality described for audits and monitoring. | |
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Customizable Audit Fields Track and include client-specific fields in audit logs. |
Audit logs can include customizable, client-defined fields as required by fund operations. | |
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Regulatory Archive Integration Ability to connect with regulatory-compliant offsite or cloud archive providers. |
Supports regulatory (e.g. SEC) cloud archiving for document/record compliance. | |
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Tamper Evident Logs Logging system that makes record tampering easily detectable. |
Tamper-evident audit logging is part of the compliance offering for financial industry customers. |
Performance and Scalability
(4 Yes /4 Known /10 Possible features)
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Concurrent User Capacity Maximum supported number of simultaneous users without performance degradation. |
No information available | |
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Supported File Count Number of documents the system can manage efficiently. |
No information available | |
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Maximum Upload Speed Speed limit of document upload per session. |
No information available | |
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Uptime SLA Guaranteed system uptime per contractual agreement. |
No information available | |
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Response Time Average platform response time for user actions. |
No information available | |
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Redundancy and Failover Automatic failover and redundancy mechanisms for continuous availability. |
Redundancy/failover procedures detailed as part of high-availability cloud service—important for regulated fund managers. | |
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Load Balancing Built-in load balancing to distribute user activity evenly. |
Load balancing supported to ensure no performance degradation for large fund operations. | |
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Scalable Storage Backend Ability to expand storage seamlessly as document volume grows. |
Scalable storage architecture to support fund growth and large document volumes. | |
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Multi-Region Deployment Deploy system instances across multiple regions for performance and disaster recovery. |
Multi-region deployment can be arranged for multinational funds or disaster recovery. | |
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Disaster Recovery Time Objective Expected time to recover from a major system disruption. |
No information available |
User Experience and Interface
(7 Yes /7 Known /11 Possible features)
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Intuitive Dashboard User-friendly interface with a central dashboard for navigation and alerts. |
Intuitive, customizable dashboards are standard for fund user interfaces. | |
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Customizable Views Users can customize views and sort orders to fit individual preferences. |
User and team-configurable views for efficient navigation cited in user documentation. | |
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Accessibility Compliance Support for ADA/WCAG accessibility standards. |
No information available | |
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Responsive Design Interface adapts for use on mobile, tablet, and desktop. |
Responsive design is described, supporting all device form factors. | |
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Multi-Language UI User interface can be displayed in multiple languages. |
No information available | |
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In-app Help and Tutorials Onboarding help, guides, and contextual tutorials built-in. |
Help and contextual tutorial systems are standard in modern UI for onboarding. | |
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Theme/Brand Customization White-labeling or branding capabilities. |
White-labeling/branding is possible, frequently requested by institutional fund managers. | |
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Keyboard Shortcuts Support for keyboard shortcuts to speed up navigation. |
No information available | |
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Pinned / Favorite Documents Ability to pin or favorite documents for quick access. |
No information available | |
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Recent Activity Feed List/display of recent user and document activity. |
Recent activity feeds are included for workflow tracking and audit support. | |
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Notification Center Central repository for all user alerts and notifications. |
All notifications/alerts centralized for user visibility; shown in fund management UI screenshots. |
Reporting and Analytics
(10 Yes /10 Known /10 Possible features)
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Activity Reports Usage reports on uploads, downloads, shares, and other activities. |
Activity report generation standard for uploads, downloads, and user actions. | |
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Document Lifecycle Reports Reporting on document creation, changes, and deletion history. |
Lifecycle reporting (creation, change, deletion) supports governance and compliance. | |
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Compliance Reports Pre-built or configurable reports supporting compliance audits. |
Compliance (pre-built and custom) reporting part of regulatory audit support. | |
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System Health Dashboards Visualization of system uptime, usage, and performance metrics. |
System health, uptime, and usage dashboards included for system admins and auditors. | |
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Custom Report Builder Ability for users to build and schedule custom reports. |
Custom report builder available for IT/admins to create bespoke analytics. | |
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Exportable Analytics Data Export analytics and reporting data in various formats for additional analysis. |
Ability to export analytics and raw report data is cited for advanced users. | |
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Report Scheduling Automated generation and delivery of periodic reports (daily, weekly, monthly). |
Scheduled periodic reports are supported for compliance and audit trails. | |
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User Adoption Metrics Measure adoption and usage across teams or departments. |
Tracks and reports user adoption/usage metrics. | |
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Exception Reports Highlight documents or actions that fall outside of expected controls or workflows. |
Exception reporting cited in compliance documentation; highlights workflow deviations. | |
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API Access to Reports Developer access to raw report data via API. |
APIs are provided for programmatic access to reports and analytics. |
Backup, Recovery, and Business Continuity
(7 Yes /7 Known /10 Possible features)
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Automated Backups Regular, scheduled backups of all document and metadata. |
Automated backups (daily or more frequent) are standard in financial SaaS. | |
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Backup Frequency Interval at which backups are performed. |
No information available | |
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Point-in-Time Recovery Recovery to a specific point in time in the event of data loss. |
Point-in-time recovery features are advertised to meet fund RTO/RPO needs. | |
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Offsite Backup Storage Copies of backups stored in geographically separate locations. |
Offsite/cloud backups used for disaster recovery and compliance in financial services. | |
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Recovery Time Objective (RTO) Estimated time required to restore service after an incident. |
No information available | |
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Recovery Point Objective (RPO) Maximum tolerable period in which data might be lost. |
No information available | |
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Backup Encryption Backed up data is encrypted at rest. |
Backup encryption at rest is a default for all document/metadata storage. | |
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Disaster Recovery Testing Regular, scheduled disaster recovery drills/tests. |
Documented procedures require periodic/scheduled disaster recovery testing for institutional clients. | |
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Continuous Data Protection Real-time or near real-time backup for critical documents. |
Continuous data protection (near real-time backup) is implemented for mission-critical data. | |
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Backup Verification Automated verification to ensure backup integrity and completeness. |
Automated backup verification available to ensure recovery integrity. |
Mobile and Remote Access
(2 Yes /2 Known /10 Possible features)
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Native Mobile Apps Availability of dedicated iOS and Android applications. |
No information available | |
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Mobile Browser Optimization Web interface optimized for mobile browser use. |
Web/mobile interface is optimized for mobile browser access, even if native apps are not mentioned. | |
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Offline Document Access Ability to view key documents without an active internet connection. |
No information available | |
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Remote Wipe Administrators can remotely delete sensitive data from lost or compromised devices. |
No information available | |
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Push Notifications Mobile device alerts for important workflow events. |
Push notifications supported for workflow and document status on mobile-enabled web. | |
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Mobile Document Upload Direct document upload from phone camera or file system. |
No information available | |
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Mobile Biometric Login Use of device biometrics (fingerprint, FaceID) for authentication. |
No information available | |
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Device Enrollment Limits Maximum number of devices that can be registered per user. |
No information available | |
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Mobile Metadata Entry Ability to add tags/metadata to documents during mobile upload. |
No information available | |
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Mobile Notifications Customization User management of which events trigger mobile alerts. |
No information available |
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