Arcus Partners and Sycamore Company Help Meet FINRA Document Storage Requirements

Arcus Partners and Sycamore Company Help Broker-Dealers and RIAs
Meet FINRA Document Storage Requirements While Creating Path to Smart Contracts

• Sycamore and Arcus Partners’ Finity360 leverage the power of Salesforce and AWS to modernize firms’ back-office and document management processes
• Finity360 integration with the Sycamore platform provides industry-compliant document storage, improved client experiences, and path to blockchain

December 4, 2019 – New York, NY – Arcus Partners and Sycamore Company are revolutionizing the way independent broker-dealers and registered investment advisors (RIAs) capture, store and manage documents and serve customers by integrating its Finity360TM Docs blockchain-enabled digital document management solution with Sycamore Company’s back- office platform for managing advisors, compensation, compliance, client relationships and business analytics. Both solutions are natively built on the cloud-based Salesforce platform, giving firms the ability to share user entitlements in one system, with integrated hosting on Amazon Web Services (AWS).

Paper documents cost independent broker-dealers and RIAs hundreds or even thousands of dollars each week in paper, time, storage and, audits. In addition, paper-based and related legacy processes make customer onboarding and service delivery inefficient, which can lead to poor experiences, reputation damage and lost business.

Part of the company’s Finity360 digital data solutions for financial services, Finity360 Docs provides a secure, central online repository of a firm’s legacy agreements, regulatory, legal and other documents – fully compliant with current FINRA and SEC electronic record retention requirements – and blockchain smart contracts. Replacing the Notes and Attachments capabilities of the Sycamore platform, Finity360 Docs’ machine learning capabilities make documents instantly accessible within Sycamore while helping firms improve operational workflows and integration with downstream systems.

Michael Overdorf, president of Sycamore, said: “Broker-dealers and RIAs should no longer feel they need to accept outdated, inefficient and disparate back-office technology. Sycamore and Arcus Partners share a similar goal to help industry players transform their business operations by upgrading their systems. Providing regulatory-compliant document storage through Finity360 Docs on the Sycamore platform gives firms peace of mind for meeting FINRA and SEC storage requirements, and once and for all, further modernizes their processes, onboarding and client experiences.”

Paul Stringer, chief operating officer at Arcus Partners, said: “Legacy technology environments are limiting firms’ ability to participate in modern ecosystems designed to drive faster time to revenue and stronger competitive advantage. Because our Finity360 solutions are blockchain- enabled, we future-proof firms’ technology investments while creating a simple path from legacy environments to new technologies such as smart contracts.”

About Sycamore

The Sycamore Company is dedicated to providing a best-practice solutions philosophy to the financial services industry. We are committed to the current web technology environment using cloud computing to offer broker-dealers and RIAs on-demand, modern and integrated software applications that revolutionize back-office processes every firm must manage such as compensation, advisors, compliance and client information as well as analyze important trends and behaviors across the firm.

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About Arcus Partners

Arcus Partners helps financial services companies – including financial advisors, broker-dealers and FCMs – gain instant access and greater value from their mission-critical data which is often locked up in back-office or CRM platforms. The company’s cloud-based data management solutions, system integration and automation services help firms increase operational efficiencies by maximizing the functionality and utilization of their CRM and back- office systems. With more than 30 years of experience in capital markets, securities back-office operations, data aggregation and system integration, Arcus Partners’ Finity360 data management solutions provide financial institutions with a highly agile, scalable and customizable way of gaining maximum business value from their data, systems, documents and operations workflows.

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Trademark information: Finity360 is a trademark of Arcus, Inc. All other trademarks belong to their respective owners.