News & Insights

Canvass of broker-dealers reveals direct-at-fund pain points

Subscribe to our Blog Canvass of broker-dealers reveals direct-at-fund pain points December 19, 2019 | ARTICLE | BY KELLY LYNCH Advisors serving clients investing solely in mutual funds often prefer to do this business direct rather than through brokerage, despite the operational and regulatory inefficiencies inherent in doing so. The FundKeeper team recently conducted an informal [...]

One way to make it easier for Series 6 reps to do good

Subscribe to our Blog One way to make it easier for Series 6 reps to do good September 26, 2019 | ARTICLE | BY KELLY LYNCH They say that no good deed goes unpunished. For many registered reps with only a Series 6 license (the classic example is a rep working in an insurer-affiliated b/d), [...]

Don’t go blindly to brokerage

Subscribe to our Blog Don’t go blindly to brokerage April 25, 2019 | ARTICLE | BY KELLY LYNCH As a technology provider to independent broker-dealers, we know that cost, regulatory pressure and information consolidation are three themes that dominate operational decisions around the trading, execution and ongoing maintenance of customer accounts. The focus on consolidation—consolidating [...]

Docupace Announces Collaboration with Direct Mutual Fund Platform FundKeeper

Docupace Announces Collaboration with Direct Mutual Fund Platform FundKeeper April 24, 2019  |  PRESS RELEASE | Docupace Users Now Have Access to a Single Servicing Point for Over 16,000 Mutual Funds (Los Angeles, CA, April 24, 2019) – Docupace, a data-driven digital operations platform designed to meet the specific business needs of broker-dealers, RIAs, and insurance organizations, announced [...]

Envision Financial Systems Sponsors 2019 BISA Annual Convention

Envision Financial Systems Sponsors 2019 BISA Annual Convention  February 20, 2019  |  PRESS RELEASE | (Costa Mesa, CA, February 20, 2019) – Envision Financial Systems, Inc., a leading provider of real-time mutual fund shareholder recordkeeping technology, is pleased to sponsor the 2019 Bank Insurance and Securities Association (BISA) Annual Convention (Booth TT29). The convention, being held March [...]

Do you really know your customers—even those small, direct-at-fund accounts?

Do you really know your customers—even those small, direct-at-fund accounts? January 28, 2019 | ARTICLE | BY KELLY LYNCH Financial intermediaries take “Know Your Customer” (KYC) guidelines seriously. Many banks, independent broker-dealers, insurance broker-dealers and other financial intermediaries spend significant dollars and compliance resources ensuring they meet banking and/or anti-money laundering surveillance and compliance requirements. However, one [...]

ENVISION IN THE NEWS

ENVISION IN THE NEWS January 24, 2019 | Investment News Article Shan Dagli, Head of Intermediary Solutions for Envision's FundKeeper, recently shared insights with Investment News about increased FINRA guidance on cybersecurity, and what that could mean for broker-dealers.  Read the Article  Wealth Management 2019 Outlook On page 35 in WealthManagement.com’s 2019 outlook, Executive Vice President Brian Jones [...]

Envision Financial Systems named finalist for Fund Intelligence Fund Technology and WSL Awards

Envision Financial Systems named finalist for Fund Intelligence Fund Technology and WSL Awards January 8, 2019  |  PRESS RELEASE | (Costa Mesa, CA, January 8, 2019) – Envision Financial Systems, Inc., a leading provider of real-time mutual fund shareholder recordkeeping technology, has been named a finalist in two categories for the Fund Intelligence “Fund Technology and WSL Awards [...]

Envision Financial Systems Sponsors 2019 FSI OneVoice Conference

Envision Financial Systems Sponsors 2019 FSI OneVoice Conference January 8, 2019  |  PRESS RELEASE | (Costa Mesa, CA, January 8, 2019) – Envision Financial Systems, Inc., a leading provider of real-time mutual fund shareholder recordkeeping technology, is pleased to sponsor the 2019 Financial Services Institute (FSI) OneVoice Conference (Booth #204). The conference, which takes place in New Orleans, [...]

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