Addressing Security and Compliance Challenges in Wealth Management

Today’s wealth management firms face unprecedented challenges: strict SEC/FINRA compliance requirements, heightened client confidentiality expectations, inefficient document management consuming advisor time, and difficult security vs. convenience trade-offs. As your practice grows, maintaining personalized service while scaling operations adds another layer of complexity. Paperclip’s wealth management solutions address these challenges head-on with enterprise-grade security that doesn’t compromise client experience.

A Trusted Partner for the Wealth Management Industry

+ Years
Trusted in Financial Document Management

Three decades of experience providing secure document solutions to financial institutions

%
SEC and FINRA Compliant

Document storage and archiving designed to meet stringent regulatory requirements

Fortune
Financial Firms Trust Paperclip

Enterprise-grade security and scalability proven in the most demanding environments

Paperclip Solutions for Wealth Management Challenges

Client Onboarding & Account Opening

Portfolio Reporting & Reviews

Compliance and Audits (SEC/FINRA Exams)

Secure Collaboration with External Partners

Data Migration or M&A Scenarios

Elevating wealth management security and compliance

Our expansive range of solutions eliminate paper to deliver greater security, efficiency, communication and ROI. Each customized to your wealth management practice and business goals.

Paperclip SAFE®

Uncompromising protection for client financial data. Keep client PII, account data, and investment information secure even from insider threats with encryption-in-use technology that exceeds Regulation S-P safeguarding requirements.

eM4

Secure client communications made simple. Send statements, recommendations, and confidential information by email without fear of exposure. Easy encryption that integrates with existing email systems while supporting SEC/FINRA requirements.

Virtual Client Folder

SEC and FINRA compliant client document management. Have every client document at your fingertips, securely organized for instant access. Purpose-built for wealth management compliance, meeting SEC Rule 204-2 and FINRA record-keeping requirements.

SIGN

Compliant electronic signatures for advisory documents. Get documents signed securely from anywhere, maintaining full compliance. Automatically encrypts and archives signed account openings, investment policies, and fee agreements.

Mojo

Transform documents into actionable client data. Convert hours of manual data entry into minutes of automated processing with 99.9% accurate transcription. Process statements from other institutions and client forms with unprecedented efficiency.

Internet eXpress

Secure file transfer for large client documents. Transfer complete client files securely, with full tracking and verification. More secure than email for financial plans and bulk transfers during transitions, with trackable delivery confirmation.

Built for Wealth Management Compliance

Our solutions address SEC Regulation S-P for privacy and safeguards, SEC Rule 204-2 for books and records, FINRA rules for broker-dealers, SEC Cybersecurity Risk Management, and applicable privacy laws like GDPR. Designed with regulatory requirements in mind.

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Enterprise-Grade Data Security

Protect sensitive client information with bank-level encryption, secure cloud infrastructure, role-based access controls, and comprehensive audit trails. Our solutions are built to protect your client's most valuable data and your firm's reputation.

Learn About Our Security Solutions

Related Resources

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Transform Your Wealth Management Practice Today

Paperclip is a technology partner solely focused on providing wealth management firms with the most efficient means of secure document capture, processing and storage. Our solutions keep client information secure and protected throughout its lifecycle.

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