PPM Case study
Broker Dealer Firm Mitigates
Compliance Risk, Saves Time and
Thousands of Dollars Using V-Rooms™
Background
ASG Securities, Inc. is a FINRA member and SEC licensed Florida based firm, which represents corporate and
institutional clients. They are predominantly focused on corporate finance and investment banking activities,
representing corporate clients in the sub-$250 million market and those corporations, funds, family offices, trust
companies and institutions that invest in this sector. These include entities seeking M&A services and financing,
sponsored funds or placements to institutions (Qualified Institutional Buyers and Qualified Purchasers), and
larger corporate buyers.
Challenge
V-Rooms has
continuously provided us
with an unparalleled level
of service in not just one,
but during ALL of the
years we have used them,
and in each and
every case.
TM
ASG Securities deals in several different areas ranging from
insurance companies and pension funds to family offices.
They needed a cost effective way to prepare and distribute
time sensitive documents and due diligence material while
meeting substantive regulatory compliance requirements
issued by FINRA and the SEC.
Solution
V-Rooms™ provided ASG Securities with complete control over all confidential information. All aspects of the
regulatory requirements to which ASG Securities must adhere are fully covered by the V-Rooms™ feature
set. ASG Securities found the customizable acknowledgement page, data room archiving, watermarking and
administrative reporting features of the application most beneficial.
Due to strict regulatory and compliance requirements, ASG Securities could not afford to make mistakes or
have missing reports. V-Rooms™ allowed ASG Securities to achieve their objectives and remain compliant.
By utilizing V-Rooms™ services, ASG Securities were able to save time and money, while streamlining the
administrative control process.
When asked how internal and external users felt about using the virtual data room, ASG Securities said, “Users
that are new to a system always have a bit of a learning curve, and it takes some time to navigate the new
program. But once a user has accessed files to read, upload or print, it’s a breeze for them to go back to get
more documents or view updates.
“For internal administrators, the V-Rooms™ customer service team has always been able to take care of every
request made either immediately or very quickly. V-Rooms™ has continuously provided us with an unparalleled
level of service in not just one, but during ALL of the years we have used them, and in each and every case.”
www.v-rooms.com
Sales: 888.316.2047
Int’l: +1 404.692.6101