Company Overview

Kaulkin Information Systems (KIS) is the first technology and solution provider to make it affordable for the tens of thousands of small to mid-size enterprises (SMEs) to employ comprehensive business process/workflow automation technologies using Software-as-a-Service (SaaS) cost-savings while also addressing industry-specific federal and industry-imposed regulatory compliance standards.

The understanding and integration of compliance factors are fundamental elements of KIS intellectual property and pending patents -- and truly set KIS apart in the market.

Technology Overview

KIS Track™, the company's flagship technology offering, is a hosted suite of enterprise content and business process management tools specifically designed to be "horizontal" working across a wide spectrum of industries.

For example, in the Financial Services sector, Broker Dealers, OSJs, Registered Reps, Registered Investment Advisors and Clearing Firms are employing KIS Track to dramatically improve the efficiency of processing client applications and investments. KIS is the first to make an easy to use, integrated suite affordable so that the hundreds of thousands of financial sales reps -- whether independent or affiliated -- and their home offices can employ state of the art automation.

KIS Track makes workflow, content/document management and compliance simple, powerful and affordable for any size business.

Just a few of the benefits for our clients include:

Sales/Account reps can spend more time with clients instead of handling paperwork
The cost of overnight document delivery is dramatically reduced -- ROI Benchmark Studies reveal savings of more than $1000 per month per branch office
Information is put to work quicker, resulting in better client or customer service
Detailed reports can be developed and shared much more quickly
KIS Track-based systems address compliance factors in specific vertical industries or across sectors as in the case of the landmark 2006 Supreme Court ruling on eDiscovery -- ROI Benchmark Studies in this category reveal savings of more than $6000 per instance of compliance audit at one brnch offfice of a mid-sized broker dealer firm

No other technology platform provides a comparable breadth of services "Modules" for enterprise knowledge management, compliance and business intelligence. The KIS Track technology suite includes the following primary application Modules:

TrackFile - Secure, online document storage and retrieval
TrackFlow - Electronic business process workflow & management oversight
TrackBatch - Secure, large-scale data import and export from any standards-based system
TrackMail - Automatic email archiving and surveillance
TrackCash - Electronic check processing; Closed-loop financial process
TrackAd - Automatic analysis of ad copy for compliance

A Secure Supervisory System

Our business processing Module (TrackFile) ensures that every step and action taken on a data record is permanently recorded in a manner that can not be deleted or altered. In the Financial Services sector, this means that KIS Track meets or exceeds both FINRA(NASD) and SEC requirements for electronic storage and on-demand document retrieval and enables principals of broker dealers to better supervise the day-to-day activities of their sales and account teams.

KIS Track can also automatically surveil e-mail communications including attachments -- another key tenet of FINRA and SEC compliance guidelines. Each e-mail message is archived and then immediately analyzed for objectionable words or phrases that the customer users defines. Offending e-mail messages (and accompanying attachments) are forwarded to a designated supervisor -- such as a Compliance or Legal Officer. In addition, all e-mails are fully searchable by authorized individuals. This enterprise content management (ECM) function can be critical for businesses that face regulatory audits or potential litigation.

KIS Track Puts You in Control

Traditional IT project development typically involves some loss of control for the business unit that originally had the need, especially as other departments get on board. Also, if you change the scope, costs change in a very manageable way. KIS Track was designed to give you the best of all worlds. We give your business people the tools, and make it simple for them to maintain control of the project. Because there is no third-party developer or IT involvement, changes in scope have limited impact on your budget. Different departments can even create their own unique KIS Track deployments with data structures and business rules tailored to their specific tasks and objectives!

Surprisingly Affordable for Both Large and Small Firms

Comparable systems are inflexible, typically requiring costly installation and customization. KIS technologies and solutions were designed to be flexible, so set-up fees are generally low. And because
KIS Track is a Software-as-a-Service (SaaS) solution, you pay as you go, with manageable up front investment.