A financial services company serving clients in all 50 states and internationally needed a more accurate, risk-averse and efficient method by which to create variable-rich account documentation like Investment Policy Statements, Investment Management Agreements and other required client and investment document packages.

1. Succeeding with LincDoc …
Enhancing productivity and reducing risk for financial services
At a Glance
Scenario
A financial services company serving clients in all 50 states and internationally needed a
more accurate, risk-averse and efficient method by which to create variable-rich account
documentation like Investment Policy Statements, Investment Management Agreements
and other required client and investment document packages.
Decision
The Company chose LincDoc Enterprise because of its document assembly engine’s ability
to include boilerplate content based upon “live” content-field responses; micro-level control
down to individual paragraphs; bundle related documents; and spread one change across
all related fields simultaneously.
Results
 Implementation of truly business-driven document assembly solution
 Company account managers are able to service clients more efficiently
 Eliminated use of a complicated, high-maintenance document assembly process
 Company now electronically bundles related documents
 Document version control problems solved
 Client-based customized content automatically generated based on simple Question
& Answer process
 Legal team (subject matter expert) input on documents drastically reduced
The situation
The Company was using a manual document creation “process” to build a number of
essential financial services contracts and agreements that provided clients with a detailed
breakdown of account manager requirements and guidelines about the investment product.
They also outline product specifics such as risk tolerance, asset allocation, maturity
timelines.

2. In many cases, these documents can be many pages in length and depending on a
customer’s investment strategy, often demand a unique array of additional addenda,
signature pages and disclosure language.
What wasn’t working
The Company’s previous process involved manually bundling pages of PDFs, providing
minimal content control and requiring account managers to create new documents for
every product option, as well as having to manually edit instances of common information,
like client names and phone numbers, and having to input the same change multiple times
in numerous document sections.
Their practice also involved the fundamental dilemma of many versions of each document
in multiple places.
This process resulted in their documentation becoming cumbersome in terms of storage,
organization, information accuracy, number of pages and redundancy. Additionally,
troubleshooting content errors required reviewing multiple documents with the same
information to locate the original error source. Several members of management were
spending too much time on document review and approval as a result of their page-by-page
construction and lack of change control.
For a single change, many pages had to be manually edited, spreading across critical
complex documents a significantly increased risk of regulatory error as well as hours of
wasted company time, client goodwill and industry reputation.
Why LincDoc?
Business-need driven
LincDoc’s Web-based “out-of-the-box” feature set provided the most comprehensive—and
simple—way to address the Company’s multi-tiered document control challenges and
emulated clearly the desired “perfect world” scenario for composing documents. LincDoc
also mirrored the Company’s established documents, leveraging their familiarity to ensure
quick adoption and rapid roll-out.
Advanced business logic
Because of LincDoc’s ability to automatically include any type of conditional content, the
Company’s account managers were able to complete customer documents in only a few
steps instead of implementing the same change across a host of related documents.

3. Document packaging
Related content, such as required legal clauses, language requirements, signature pages and
other forms of addenda could be included conditionally and output in an attractive, branded
document package that greatly reduced the chance for costly errors.
Granular content control
LincDoc provided information control to the paragraph level, allowing for intricate changes
to be made quickly and easily.
One place for all documents
A single repository for the latest version of every document keeps document usage
organized and highly efficient, as well as ensures that data collected is not in response to
outdated form fields.
Results
Hours of time saved per document
Regardless of complexity, critical documents are now created, completed and provided for
clients in less than half the time needed previously needed while working with an “off the
shelf” document creation application or manually generated PDFs. Now, changes that once
took three hours to implement across multiple documents is estimated at ten minutes.
Additionally, subject matter experts are no longer needed to approve published documents,
as pre-approved content is locked into document library, enabling all users to create
compliant account materials.
Enhanced account services
The Company is able to quickly customize client documents to more efficiently explain the
nuances of a particular investment product while adhering to all required legalities and
regulatory language, reducing the “paperwork drain” that is so common with financial
products and that prevent customer from fully understanding where there money is
headed.
The Company’s sales team is reporting that higher priority accounts can now be given
additional attention as once-cumbersome tasks associated with day-to-day document
management have become essentially a thing of the past.
Inclusion of common content

4. Account managers can now publish the same change across all related documents in a
bundled document and include common content, like account numbers and client name and
information automatically.
The right content every time
The likelihood of a document being published with incorrect information was reduced
substantially due to the audited, permission-based content repository that ensures
document language is correct in every instance across their entire library.
The Company has also improved its standing under audit scenarios.
Contact:
LincWare , LLC
www.lincware.com
sales@lincware.com
585.563.1669