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Enterprise information platform that manages documents, processes, and cases for brokerages. Features include automated document capture, workflow automation, secure client file management, regulatory compliance tools, and integration with core brokerage systems.
Solutions for securely storing, retrieving, and managing client documents, contracts, and account paperwork with appropriate access controls.
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Encryption at Rest Documents are encrypted while stored in the system. |
OnBase emphasizes security features including encryption at rest in official documentation and compliance materials. | |
Encryption in Transit Data is encrypted while being transferred between users and servers. |
OnBase lists support for encryption in transit (SSL/TLS) as standard for regulated industries. | |
Role-based Access Control Allows assignment of access to documents based on user roles or job titles. |
Role-based access control is a core part of content and workflow management platforms like OnBase. | |
Multi-factor Authentication Requires more than one form of user authentication to access the system. |
OnBase supports multi-factor authentication as a security best practice, per Hyland security documentation. | |
Granular Permission Settings Ability to set permissions at folder, document, and user levels. |
Granular permission settings at user, folder, and document level are highlighted in OnBase feature collateral. | |
Audit Trails Comprehensive logging of all actions, access, and modifications for compliance and security review. |
Audit trails and complete logging are included as part of OnBase for compliance review. | |
Single Sign-On (SSO) Supports integration with enterprise SSO providers for unified authentication. |
OnBase integrates with enterprise identity providers to support SSO. | |
IP Whitelisting Restricts access to the system from approved IP ranges only. |
Platform describes support for IP whitelisting to restrict access for regulated industries. | |
Time-based Access Restrictions Limits system access to specific times for certain users or groups. |
No information available | |
Data Loss Prevention (DLP) Prevents sensitive information from being improperly accessed or shared. |
OnBase includes DLP functions such as access policy, watermarking, and usage controls. | |
Automatic Session Timeouts Sessions automatically log out users after a period of inactivity. |
Automatic session timeouts configurable, as per admin/configuration documentation. | |
SSL/TLS Support Supports secure socket layers/transport layer security protocols. |
SSL/TLS mentioned as security protocol in product documentation. | |
Secure Mobile Access Enables mobile users to securely access documents through dedicated apps or browsers. |
OnBase has secure mobile app and web access options described on hyland.com. |
Unlimited Storage Capacity Maximum amount of storage available for documents. |
No information available | |
Metadata Tagging Ability to attach custom metadata to documents for advanced organization. |
Metadata tagging and advanced classification are specifically called out in feature lists. | |
Full-text Search Search capability allowing retrieval of documents based on content, not just filenames or metadata. |
Full-text search is highlighted as a key organizational and retrieval feature. | |
Folder Hierarchy Support Supports nested folder structures for document categorization. |
Supports folder and document hierarchy models as part of organizational structure. | |
Version Control Keeps track of document versions and changes over time. |
Version control, audit history, and rollback are included in OnBase system capabilities. | |
Bulk Upload/Download Users can upload or download multiple documents at once. |
Bulk upload/download both available, for batch processing and migrations. | |
Document Templates Pre-defined templates for common documents and forms. |
Document templates for standardized brokerage forms are available. | |
Drag-and-Drop Upload Allows users to upload files by dragging them into the browser window. |
Drag-and-drop upload is part of web client functionality. | |
Document Preview Displays previews of documents without requiring download. |
Browser-based and app-based preview of documents without download is available. | |
Duplicate Detection Identifies and flags potential duplicate files. |
Duplicate detection and file validation are supported according to admin guides. | |
Retention Policies Automated rules for keeping or purging documents after a specified period. |
Retention policies can be set and automated per compliance workflows. | |
Check-in/Check-out Functionality Prevents conflicting edits by locking documents when being edited. |
Check-in/check-out is natively supported in OnBase for edit controls. | |
Automated Filing Automatically files incoming documents into correct folders/sections based on rules. |
Automated filing and classification rules included in workflow engine. |
FINRA/SEC Compliance Features Built-in tools and controls for meeting brokerage documentation regulations. |
FINRA/SEC compliance toolkits and features listed for broker-dealer package. | |
Data Retention Compliance Automatically enforces legal retention periods for client records. |
Automated retention for compliance with legal and regulatory requirements. | |
WORM Storage Option Write Once Read Many (WORM) support to prevent document alteration. |
No information available | |
Legal Hold Mechanism Ability to restrict deletion or modification of documents under investigation. |
Legal hold workflow options described in documentation and support resources. | |
Compliance Reporting Generates reports demonstrating adherence to compliance policies. |
Compliance reporting with auditable output is included in reporting features. | |
Automated Regulatory Updates Updates retention policies and workflows in response to new laws or regulations. |
No information available | |
Tamper Evident Document Logs Shows clear evidence if records are altered. |
OnBase provides tamper-evident logging for regulatory defensibility. | |
Electronic Signature Compliance Adheres to e-sign regulations (e.g., ESIGN, UETA) for legal acceptance. |
Electronic signature compliance (e.g. ESIGN, UETA, eIDAS) supported and referenced. | |
Privacy Impact Assessment Tools Helps assess and document how the system complies with privacy regulations. |
No information available | |
GDPR/CCPA Support Supports requirements for European and California data privacy laws. |
GDPR/CCPA tools and privacy-by-design controls are documented for OnBase. | |
Chain of Custody Tracking Logs all handlers of a document for legal defensibility. |
Comprehensive chain of custody/handler tracking for audit is included. | |
SOC2/ISO Compliance Certification System has third-party certification for security and privacy controls. |
SOC2 and ISO certifications available for OnBase Cloud deployments. |
Intuitive User Interface System has a user-friendly and intuitive design. |
OnBase is marketed as having an intuitive, modern user interface. | |
Customizable Dashboards Users can personalize home screens and document views. |
Customizable dashboards and interface panels are available. | |
Accessibility Compliance Comply with WCAG/ADA standards for users with disabilities. |
Hyland documentation references WCAG/ADA accessibility support for OnBase. | |
Multi-language Support Provides user interface and documentation in multiple languages. |
Multi-language UI support as part of enterprise configuration. | |
Mobile Responsive Design Interface works on desktops, tablets, and smartphones. |
Mobile responsive design is a standard for web-based interface. | |
Bulk Actions Allows users to apply actions (delete, move, tag) to multiple files at once. |
Bulk file actions (delete, tag, move) are part of core document management. | |
Favorites/Bookmarks Users can bookmark frequently accessed documents. |
No information available | |
Recently Accessed Files Quick access to recently viewed or edited documents. |
No information available | |
Personalized Notification Settings Users can specify which system alerts or notifications they receive. |
Personalized notification settings can be configured by users or admins in OnBase. | |
Keyboard Shortcuts Enhanced navigation and functions through shortcut keys. |
Keyboard shortcuts and accessibility features referenced in user help. | |
Offline Access Ability to access documents without internet connectivity. |
Offline access for mobile and desktop client users is supported. |
Shared Workspaces Create shared folders or spaces for specific teams or projects. |
Shared workspaces/folders and ad-hoc team access are common OnBase use cases. | |
Commenting & Annotations Enables users to comment or annotate documents. |
Document commenting and annotation available for collaboration. | |
Automated Approval Workflows Route documents for review, approval, and sign-off automatically. |
Automated approval workflows are a highlighted OnBase capability. | |
Task Assignments Assign document-related tasks to specific users or roles. |
Task assignment as part of workflow and case management. | |
E-mail Notification Integration Automatically sends notifications about document changes or actions. |
Robust notification integration including email alerts for document changes. | |
Real-Time Collaboration Multiple users can edit/view a document simultaneously. |
Real-time collaboration is supported as simultaneous file viewing/editing for some formats. | |
External Guest Access Allows sharing specific documents with external parties securely. |
External guest access is supported, with controls for security and audit. | |
Document Locking Prevents conflicts by restricting editing access when another user is editing. |
Document locking/edit controls are configurable in workflow setup. | |
Workflow Template Library Library of pre-built workflows for common brokerage tasks. |
There is a workflow template library for common brokerage & banking tasks. | |
Automated Reminders System can send reminders for pending reviews or signatures. |
Automated reminders part of workflow automation and notification options. |
Open API Access Provides documented API for connecting with other platforms. |
OnBase has a documented open REST API for integrations. | |
CRM Integration Ability to link with popular customer relationship management systems. |
Integration with Salesforce and other CRM systems is advertised. | |
e-Signature Platform Integration Works with DocuSign, Adobe Sign, or other e-signature services. |
Integrates with major e-signature providers (DocuSign, Adobe Sign etc). | |
Email Client Integration Directly send/receive/store documents from email. |
Direct email integration supported for storing and processing emails as documents. | |
Core Brokerage Platform Integration Ability to integrate with account opening, trading, and compliance systems. |
OnBase can integrate with core brokerage/account platforms including trading and compliance. | |
Cloud Storage Integration Link with systems like Box, Dropbox, or OneDrive. |
Integration with cloud storage systems (Box, OneDrive, etc) available. | |
Webhooks/Notifications API Emit automated notifications to other systems on document changes. |
Webhooks and event notifications available via the API platform. | |
Bulk Data Import/Export Mass-migration and synchronization capabilities for documents and metadata. |
Bulk import/export for migration and integration in admin and API documentation. | |
Custom Workflow Integration Define and connect external workflow automations. |
Custom workflow definitions with integration scripting supported by workflow engine. | |
Custom Fields & Mapping Ability to map document properties to external system fields. |
Custom mapping of document fields for integration is configurable. |
System Uptime SLA Guaranteed percentage of system availability. |
No information available | |
Document Retrieval Speed Average time to retrieve a document. |
No information available | |
Disaster Recovery Capabilities Built-in features for backup and disaster recovery. |
Disaster recovery and geo-redundant backup options are core OnBase functions. | |
Redundant Data Centers Geographically diverse backups and failover capabilities. |
Redundant data centers referenced for SaaS/cloud deployments of OnBase. | |
Load Balancing Distributes requests evenly across infrastructure for high availability. |
Load balancing is employed in OnBase cloud architecture for HA. | |
24/7 Monitoring Continuous monitoring of system health and performance. |
Continuous, 24/7 monitoring as part of platform services. | |
Auto-scaling Infrastructure Dynamically scales resources based on system load. |
Auto-scaling supported in Hyland's NextGen platform for OnBase Cloud. | |
Instant Document Indexing Documents are indexed and searchable immediately upon upload. |
Document indexing is immediate or near real-time. | |
Scheduled Maintenance Window Notifications Advance notifications of maintenance to minimize interruption. |
Maintenance notifications are standard for cloud and hosted deployments. |
Client Portal Access Secure area where clients can view, upload, and download documents. |
Secure client portals are marketed for wealth management and brokerage. | |
Self-service Document Requests Clients can request specific documents or forms from within the portal. |
Self-service document request functionality built into portals and service integrations. | |
E-signature Collection Integrated collection of client e-signatures on key documents. |
E-signature collection of documents available through integrated providers. | |
Secure Messaging Exchange confidential messages and documents with clients. |
Secure client messaging for documents/communication described in portal solution. | |
White-label Branding Customize the portal to include your branding and logos. |
White-label branding and customization of portals available for financial institutions. | |
Notification of Document Availability Automatically notify clients when a document is available for their review. |
Automated notifications to clients when documents are available. | |
Privilege Differentiation Set different access levels for clients (e.g., view-only, download, upload). |
Privilege differentiation options for configurable client access roles. | |
Client Activity Tracking Shows when clients accessed, downloaded, or signed documents. |
Client activity is tracked and visible to advisors/admins for compliance. | |
Download Limits/Controls Restricts the frequency or volume of client downloads. |
No information available |
Usage Analytics Tracks metrics on document access, uploads, and downloads. |
Usage analytics available as part of reporting dashboard. | |
Custom Report Builder Users can create custom reports from system data. |
Custom report builder present in OnBase analytics suite. | |
Exportable Reports Reports can be exported in multiple formats (PDF, CSV, XLS). |
Reports exportable to PDF, CSV, XLS formats. | |
Document Access Reports Shows who accessed documents and when. |
Shows who accessed and when in audit report. | |
Regulatory Compliance Reports Automated reporting for regular financial audits and compliance reviews. |
Automated compliance and audit reports included in product suite. | |
Trend Analysis Identifies usage patterns over time. |
Trend analyses are available in reporting/analytics for activity and access metrics. | |
Real-time Dashboards Instantly updated dashboards with key document and usage statistics. |
Real-time updating dashboards are standard in analytics suite. | |
Failed Access Attempt Reporting Tracks and reports unauthorized or failed access attempts. |
Failed/unauthorized access attempts are logged and can be reported. | |
Automated Scheduled Reports Delivers reports on a configurable schedule to selected users. |
Scheduled report delivery is a supported feature. |
Onboarding Workflow Support Pre-built workflows for new client onboarding documentation. |
Onboarding workflow templates and guidance for new clients included. | |
KYC Document Collection Dedicated process for collecting and verifying KYC/AML documents. |
Specialized KYC workflow and document collection process supported. | |
Automated Form Filling System can auto-populate forms based on client data. |
Automated form filling can be accomplished with workflow and template features. | |
Document Expiry Tracking Tracks expiration dates and sends renewal reminders for required documents. |
Document expiry is tracked and alerts can be set for renewal. | |
Change-of-Address Automation Facilitates the update of client records and documents when address changes are made. |
Change-of-address event triggers document update processes. | |
Account Closure Documentation Automates collection and filing of documents required to close accounts. |
Account closure documentation workflow included. | |
E-signature for Account Opening Supports electronic signing of new account opening documents. |
E-signature for account opening is highlighted use case in OnBase for broker-dealers. | |
Archived Account Management Ability to retain and manage documentation of closed or archived accounts. |
Archived account management is supported in retention and compliance feature set. | |
Document Completeness Checks Automated system ensures all required client documents are present. |
Completeness checks are automated in onboarding and workflow modules. | |
Bulk Onboarding Support for simultaneous onboarding of multiple clients (e.g., corporate accounts). |
Bulk onboarding supported via import, workflow, and form tools. |
24/7 Technical Support Round-the-clock access to technical helpdesk. |
24/7 support available for OnBase enterprise clients. | |
Dedicated Account Manager Assigned contact for escalations and account issues. |
Dedicated account manager listed as premium service/support. | |
Comprehensive Knowledge Base Access to detailed documentation and self-help resources. |
Knowledge base and documentation portal available for OnBase users. | |
In-application Guided Training Interactive walkthroughs and in-product guidance. |
In-app training and guidance (walkthroughs, help widgets) referenced on hyland.com. | |
Automated Software Updates System updates are rolled out automatically, minimizing disruption. |
Automated software updates for cloud deployments are documented. | |
Customizable User Roles & Permissions Admins can define and adjust user roles themselves. |
Admins can create and adjust user roles/permissions in OnBase admin console. | |
System Health Dashboard Real-time visibility into system status. |
System health dashboard is available for admin and IT monitoring. | |
Incident Response Time Average time to respond to support tickets. |
No information available | |
User Feedback Mechanism Users can submit feature requests or report issues directly from the interface. |
User feedback can be submitted through support/service portal. | |
Update Release Notes Detailed notes accompany each system update. |
Release notes are published with every update and accessible to customers. |
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