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Financial & Insurance Services

Today’s investment advisors operate in a uniquely challenging business environment. In addition to facing growing compliance requirements and regulatory demands, they are confronted with the rising cost of doing business in an increasingly competitive industry.

Effective compliance is critical to an investment advisor’s practice. It not only facilitates a productive, efficient, and transparent client-advisor relationship, but it also mitigates legal and regulatory issues that could lead to significant fines and/ or costly litigation. Such consequences can impede business, damage advisors’ reputations, and compromise established corporate brands.

How can investment advisors meet growing compliance demands while maintaining high productivity and controlling costs? More and more investment advisors are leveraging speech recognition to…

  • Dramatically reduce the time it takes to document client interactions in their client relationship management (CRM) systems
  • Improve detail and accuracy of meeting notes while capturing them while they are still fresh in their minds
  • Produce other client communications like email, written correspondence, agreements, plans, and newsletters
  • Maintain documentation to meet compliance requirements and minimize risk of litigation
  • Investment and financial planning firms can deploy speech solutions broadly to speed the documentation process and boost individual advisor productivity without changing current business processes, existing CRM systems, or deployed information systems.

Investment firms are using speech recognition solutions, to minimize compliance risk, drive higher productivity, and control costs for bottom-line results.


Cut Documentation Completion Time
With speech recognition, investment advisors can turn their voices into text with up to 99% accuracy using virtually any Windows-based application and popular contact management systems like Salesforce, ACT!, Siebel, and Goldmine. The transcribed text appears on the screen three times faster than most people type, dramatically speeding the creation of meeting notes, confirmations, and emails.

Improve Documentation Quality
Dragon provides a fast, efficient and cost-effective solution for creating the documentation required to meet ever-expanding compliance requirements. Investment advisors can easily capture the detailed information needed to minimize risk of litigation and improve service to investors – just by talking.

Manage Email
Since managing email takes up an increasing amount of everyone’s workday, speech recognition software can be used to create, navigate, send, and respond to email by voice. What’s more, Dragon Professional contains text-to-speech technology that allows users to have the software read text aloud, which enables them to complete other tasks while listening to their email or documents..

Productivity on the Go
Since investment advisors spend a significant amount outside the office at prospect and client meetings, Dragon offers an option to capture meeting notes from anywhere, at any time using a digital voice recorder. Immediately following a meeting, an advisor can dictate notes into any Nuance-certified handheld device for automatic transcription when they connect to their PC back at home or at the office.

Manage Large User Networks
Dragon Professional offers administrative tools to manage large user populations. Organizations with large deployments can centrally manage voice profiles, custom vocabularies, and multiple installations. Robust security and configuration options enable administrators to control Dragon usage across the enterprise.

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