Case Study: Worldwide Investment Bank achieves SEC 17(a) compliance and enterprise-wide secure fax archiving with Upland Software

Worldwide Investment Bank - Customer Case Study

A top-10 global investment bank faced a compliance gap: its distributed paper fax machines, digital fax servers, and external fax vendors left broker communications untracked and unarchived, putting the firm at risk of violating SEC Section 17(a) record‑keeping requirements. The Client needed a consolidated, auditable solution to secure, route, and retain all faxed documents across the enterprise.

Omtool’s AccuRoute platform, deployed with networked HP MFPs and integrated with Microsoft Exchange and Veritas Enterprise Vault, centralized all inbound and outbound fax traffic, enabled one‑button paper and electronic faxing, and created searchable, archived records for compliance monitoring. The bank achieved SEC 17(a) compliance (earning praise from regulators), standardized workflows, boosted user productivity, reduced reliance on traditional fax machines, and lowered operating and record‑keeping costs.