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OpenText Documentum for Financial Services from OpenText
Comprehensive document management with robust security, regulatory compliance features, records management, workflow automation, and analytics specifically designed for financial institutions including brokerages.
Product analysis by function
Document Management Systems for Client Services
Solutions for securely storing, retrieving, and managing client documents, contracts, and account paperwork with appropriate access controls.
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Security & Access Control
(13 Yes /13 Known /13 Possible features)
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Encryption at Rest Documents are encrypted while stored in the system. |
OpenText Documentum is marketed as offering robust data security, which includes encryption at rest for stored documents. | |
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Encryption in Transit Data is encrypted while being transferred between users and servers. |
OpenText documentation specifies encryption in transit as part of its data security and regulatory compliance suite. | |
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Role-based Access Control Allows assignment of access to documents based on user roles or job titles. |
Role-based access control is a standard component in OpenText Documentum for fine-grained document permission management. | |
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Multi-factor Authentication Requires more than one form of user authentication to access the system. |
Multi-factor authentication is available as part of Documentum's enterprise security options. | |
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Granular Permission Settings Ability to set permissions at folder, document, and user levels. |
Documentum allows granular permission settings at document, user, and group level. | |
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Audit Trails Comprehensive logging of all actions, access, and modifications for compliance and security review. |
Audit trails and logging features are highlighted for compliance and security review. | |
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Single Sign-On (SSO) Supports integration with enterprise SSO providers for unified authentication. |
Supports SSO integration with enterprise identity providers (such as SAML, LDAP). | |
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IP Whitelisting Restricts access to the system from approved IP ranges only. |
IP Whitelisting is supported to control access to Documentum environments. | |
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Time-based Access Restrictions Limits system access to specific times for certain users or groups. |
OpenText security documentation describes time-based access restrictions. | |
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Data Loss Prevention (DLP) Prevents sensitive information from being improperly accessed or shared. |
Data Loss Prevention (DLP) policies and controls can be configured in Documentum. | |
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Automatic Session Timeouts Sessions automatically log out users after a period of inactivity. |
Auto session timeouts are configurable in Documentum’s security policy settings. | |
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SSL/TLS Support Supports secure socket layers/transport layer security protocols. |
Supports SSL/TLS for all connections and communications. | |
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Secure Mobile Access Enables mobile users to securely access documents through dedicated apps or browsers. |
Documentum offers secure mobile access through apps and secure mobile browsers. |
Document Storage & Organization
(12 Yes /12 Known /13 Possible features)
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Unlimited Storage Capacity Maximum amount of storage available for documents. |
No information available | |
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Metadata Tagging Ability to attach custom metadata to documents for advanced organization. |
Metadata tagging is a fundamental capability for organizing and retrieving documents in Documentum. | |
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Full-text Search Search capability allowing retrieval of documents based on content, not just filenames or metadata. |
Full-text search is a core feature of Documentum to enable content-based document retrieval. | |
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Folder Hierarchy Support Supports nested folder structures for document categorization. |
Supports detailed folder and sub-folder hierarchy for document organization. | |
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Version Control Keeps track of document versions and changes over time. |
Version control and document history are standard features in Documentum. | |
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Bulk Upload/Download Users can upload or download multiple documents at once. |
Supports bulk upload/download actions for multiple document transfers. | |
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Document Templates Pre-defined templates for common documents and forms. |
Document templates and forms can be set up and reused in Documentum. | |
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Drag-and-Drop Upload Allows users to upload files by dragging them into the browser window. |
Modern Documentum user interfaces include drag-and-drop file upload. | |
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Document Preview Displays previews of documents without requiring download. |
Document preview is supported in the Documentum UI for many file types. | |
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Duplicate Detection Identifies and flags potential duplicate files. |
Duplicate detection capabilities available via deduplication modules. | |
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Retention Policies Automated rules for keeping or purging documents after a specified period. |
Retention policies can be configured for automated document disposal or archiving. | |
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Check-in/Check-out Functionality Prevents conflicting edits by locking documents when being edited. |
Check-in/check-out features are standard for document editing to avoid conflicts. | |
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Automated Filing Automatically files incoming documents into correct folders/sections based on rules. |
Automated filing rules based on metadata or content are configurable. |
Compliance & Audit
(11 Yes /11 Known /12 Possible features)
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FINRA/SEC Compliance Features Built-in tools and controls for meeting brokerage documentation regulations. |
Documentum for Financial Services includes FINRA/SEC compliance support and features. | |
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Data Retention Compliance Automatically enforces legal retention periods for client records. |
Can enforce legal retention periods for compliance (e.g. SEC, FINRA rules). | |
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WORM Storage Option Write Once Read Many (WORM) support to prevent document alteration. |
WORM storage is available as required by SEC 17a-4 regulations. | |
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Legal Hold Mechanism Ability to restrict deletion or modification of documents under investigation. |
Legal hold function is present for litigation cases and regulatory investigations. | |
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Compliance Reporting Generates reports demonstrating adherence to compliance policies. |
Generates compliance and audit reporting as a built-in feature. | |
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Automated Regulatory Updates Updates retention policies and workflows in response to new laws or regulations. |
No information available | |
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Tamper Evident Document Logs Shows clear evidence if records are altered. |
Document logs are tamper evident, showing any attempted or actual changes. | |
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Electronic Signature Compliance Adheres to e-sign regulations (e.g., ESIGN, UETA) for legal acceptance. |
Complies with ESIGN/UETA and has e-signature integration features. | |
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Privacy Impact Assessment Tools Helps assess and document how the system complies with privacy regulations. |
Privacy tools and data mapping available to support data privacy regulations. | |
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GDPR/CCPA Support Supports requirements for European and California data privacy laws. |
OpenText Documentum is designed to be compliant with GDPR and CCPA. | |
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Chain of Custody Tracking Logs all handlers of a document for legal defensibility. |
Chain of custody tracking present via audit logs and activity trail. | |
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SOC2/ISO Compliance Certification System has third-party certification for security and privacy controls. |
OpenText counts SOC2 and ISO 27001 compliance among its certifications. |
User Experience & Accessibility
(8 Yes /8 Known /11 Possible features)
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Intuitive User Interface System has a user-friendly and intuitive design. |
The user interface is marketed as intuitive and friendly, designed for complex workflows but with attention to usability. | |
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Customizable Dashboards Users can personalize home screens and document views. |
Users can configure personalized dashboards in Documentum. | |
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Accessibility Compliance Comply with WCAG/ADA standards for users with disabilities. |
OpenText Documentum has accessibility documentation and claims support for ADA/WCAG compliance. | |
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Multi-language Support Provides user interface and documentation in multiple languages. |
Multi-language UI and documentation available as standard for global deployments. | |
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Mobile Responsive Design Interface works on desktops, tablets, and smartphones. |
Interface auto-adapts for mobile and tablet users. | |
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Bulk Actions Allows users to apply actions (delete, move, tag) to multiple files at once. |
Bulk actions supported—move, copy, update metadata on multiple docs. | |
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Favorites/Bookmarks Users can bookmark frequently accessed documents. |
No information available | |
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Recently Accessed Files Quick access to recently viewed or edited documents. |
Recently accessed files/folders can be quickly retrieved via the UI. | |
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Personalized Notification Settings Users can specify which system alerts or notifications they receive. |
User notification settings are available for critical alerts and process steps. | |
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Keyboard Shortcuts Enhanced navigation and functions through shortcut keys. |
No information available | |
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Offline Access Ability to access documents without internet connectivity. |
No information available |
Collaboration & Workflow
(10 Yes /10 Known /10 Possible features)
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Shared Workspaces Create shared folders or spaces for specific teams or projects. |
Shared workspaces/folders available for collaboration teams or projects. | |
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Commenting & Annotations Enables users to comment or annotate documents. |
Allows in-document comments and annotation as part of collaborative editing. | |
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Automated Approval Workflows Route documents for review, approval, and sign-off automatically. |
Workflow automation and approval processes are standard features. | |
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Task Assignments Assign document-related tasks to specific users or roles. |
Enables assignment of tasks within document workflows. | |
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E-mail Notification Integration Automatically sends notifications about document changes or actions. |
Integration with email systems for notification and activity alerts. | |
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Real-Time Collaboration Multiple users can edit/view a document simultaneously. |
Offers simultaneous editing and collaboration features for some file types. | |
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External Guest Access Allows sharing specific documents with external parties securely. |
Supports limited external guest access with security controls. | |
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Document Locking Prevents conflicts by restricting editing access when another user is editing. |
Document locking/check-out governed during editing to avoid conflicts. | |
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Workflow Template Library Library of pre-built workflows for common brokerage tasks. |
Comes with a library of workflow templates for frequent business processes. | |
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Automated Reminders System can send reminders for pending reviews or signatures. |
Supports automated reminders for pending events/actions. |
Integration & API
(10 Yes /10 Known /10 Possible features)
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Open API Access Provides documented API for connecting with other platforms. |
Fully documented open API for integration with other platforms and tools. | |
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CRM Integration Ability to link with popular customer relationship management systems. |
CRM integrations available with popular providers (Salesforce, MS Dynamics, etc.). | |
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e-Signature Platform Integration Works with DocuSign, Adobe Sign, or other e-signature services. |
Integrates with e-signature providers like DocuSign and Adobe Sign. | |
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Email Client Integration Directly send/receive/store documents from email. |
Attachments can be sent/received directly from integrated email clients. | |
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Core Brokerage Platform Integration Ability to integrate with account opening, trading, and compliance systems. |
OpenText Documentum for Financial Services highlights brokerage platform integration capabilities. | |
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Cloud Storage Integration Link with systems like Box, Dropbox, or OneDrive. |
Supports cloud storage integration (Box, Dropbox, OneDrive, etc.). | |
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Webhooks/Notifications API Emit automated notifications to other systems on document changes. |
Supports webhooks and notifications via the API. | |
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Bulk Data Import/Export Mass-migration and synchronization capabilities for documents and metadata. |
Can perform mass import/export of documents and their metadata. | |
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Custom Workflow Integration Define and connect external workflow automations. |
Enables configuration and integration of custom workflows with external systems. | |
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Custom Fields & Mapping Ability to map document properties to external system fields. |
Custom fields and mapping to external systems can be set up via admin UI and API. |
Performance & Reliability
(7 Yes /7 Known /9 Possible features)
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System Uptime SLA Guaranteed percentage of system availability. |
No information available | |
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Document Retrieval Speed Average time to retrieve a document. |
No information available | |
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Disaster Recovery Capabilities Built-in features for backup and disaster recovery. |
Documentum is designed for high reliability with backup and disaster recovery features. | |
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Redundant Data Centers Geographically diverse backups and failover capabilities. |
Operates across multiple data centers for redundancy and failover. | |
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Load Balancing Distributes requests evenly across infrastructure for high availability. |
Load balanced infrastructure to support enterprise workloads. | |
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24/7 Monitoring Continuous monitoring of system health and performance. |
Continuous 24/7 monitoring of system health is part of OpenText SaaS/cloud offering. | |
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Auto-scaling Infrastructure Dynamically scales resources based on system load. |
Auto-scaling supported for cloud deployments to handle variable load. | |
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Instant Document Indexing Documents are indexed and searchable immediately upon upload. |
Indexing and search are near-real-time upon document upload. | |
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Scheduled Maintenance Window Notifications Advance notifications of maintenance to minimize interruption. |
Customers receive advance notifications before scheduled maintenance. |
Client Communication & Portal
(9 Yes /9 Known /9 Possible features)
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Client Portal Access Secure area where clients can view, upload, and download documents. |
Provides secure client portal for document viewing, upload, and download. | |
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Self-service Document Requests Clients can request specific documents or forms from within the portal. |
Lets clients securely request and receive documents via portal. | |
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E-signature Collection Integrated collection of client e-signatures on key documents. |
Integrated e-signature collection for client documentation is highlighted. | |
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Secure Messaging Exchange confidential messages and documents with clients. |
Supports secure, encrypted messaging with clients in the portal. | |
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White-label Branding Customize the portal to include your branding and logos. |
Portal can be white-labeled with customer logo/colors. | |
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Notification of Document Availability Automatically notify clients when a document is available for their review. |
System notifies clients automatically of document availability. | |
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Privilege Differentiation Set different access levels for clients (e.g., view-only, download, upload). |
Privilege differentiation supported for client access. | |
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Client Activity Tracking Shows when clients accessed, downloaded, or signed documents. |
Tracks when clients accessed and edited/downloaded documents. | |
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Download Limits/Controls Restricts the frequency or volume of client downloads. |
Download limits and controls can be configured. |
Reporting & Analytics
(9 Yes /9 Known /9 Possible features)
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Usage Analytics Tracks metrics on document access, uploads, and downloads. |
Detailed usage analytics available for user and admin review. | |
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Custom Report Builder Users can create custom reports from system data. |
Custom report builder allows users to define and generate their own reports. | |
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Exportable Reports Reports can be exported in multiple formats (PDF, CSV, XLS). |
Supports export of reports as CSV, PDF, XLS, etc. | |
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Document Access Reports Shows who accessed documents and when. |
Admins can report on document access trails by user/date/time. | |
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Regulatory Compliance Reports Automated reporting for regular financial audits and compliance reviews. |
Automated regulatory reporting for audit/compliance is supported. | |
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Trend Analysis Identifies usage patterns over time. |
Trend analysis features available via analytics module. | |
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Real-time Dashboards Instantly updated dashboards with key document and usage statistics. |
Real-time dashboards for KPIs and document status. | |
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Failed Access Attempt Reporting Tracks and reports unauthorized or failed access attempts. |
Failed access attempts tracked and reported for security purposes. | |
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Automated Scheduled Reports Delivers reports on a configurable schedule to selected users. |
Automated reports can be scheduled and distributed to stakeholders. |
Client Onboarding & Account Management
(10 Yes /10 Known /10 Possible features)
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Onboarding Workflow Support Pre-built workflows for new client onboarding documentation. |
Supports onboarding workflows for client document collection. | |
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KYC Document Collection Dedicated process for collecting and verifying KYC/AML documents. |
KYC/AML document collection is highlighted for financial services clients. | |
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Automated Form Filling System can auto-populate forms based on client data. |
Automated form filling available for reducing manual entry. | |
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Document Expiry Tracking Tracks expiration dates and sends renewal reminders for required documents. |
Tracks document expiration dates and issues reminders. | |
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Change-of-Address Automation Facilitates the update of client records and documents when address changes are made. |
Change-of-address flows supported for updating client documents. | |
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Account Closure Documentation Automates collection and filing of documents required to close accounts. |
Automates collection and submission of account closure documentation. | |
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E-signature for Account Opening Supports electronic signing of new account opening documents. |
E-signature support for opening new client/brokerage accounts. | |
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Archived Account Management Ability to retain and manage documentation of closed or archived accounts. |
Closed/archived account documentation is managed in the repository. | |
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Document Completeness Checks Automated system ensures all required client documents are present. |
Automated completeness checks for required onboarding documents. | |
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Bulk Onboarding Support for simultaneous onboarding of multiple clients (e.g., corporate accounts). |
Supports bulk or mass onboarding operations (e.g., corporate accounts). |
Maintenance & Support
(9 Yes /9 Known /10 Possible features)
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24/7 Technical Support Round-the-clock access to technical helpdesk. |
OpenText offers 24/7 technical support for its enterprise cloud and on-prem solutions. | |
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Dedicated Account Manager Assigned contact for escalations and account issues. |
Enterprise account management includes a dedicated account manager. | |
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Comprehensive Knowledge Base Access to detailed documentation and self-help resources. |
Comprehensive knowledge base and documentation is available online. | |
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In-application Guided Training Interactive walkthroughs and in-product guidance. |
In-app training and walkthroughs are available for new users. | |
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Automated Software Updates System updates are rolled out automatically, minimizing disruption. |
Automated software updates can be scheduled and managed centrally. | |
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Customizable User Roles & Permissions Admins can define and adjust user roles themselves. |
Admins can create and manage user roles and permissions without IT intervention. | |
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System Health Dashboard Real-time visibility into system status. |
Real-time health dashboards provided for monitoring. | |
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Incident Response Time Average time to respond to support tickets. |
No information available | |
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User Feedback Mechanism Users can submit feature requests or report issues directly from the interface. |
Feedback/feature request mechanisms are present in the user portal. | |
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Update Release Notes Detailed notes accompany each system update. |
Release notes accompany all major/feature software updates. |
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