Alternative Assets has Partnered with Smarsh

Benefits
Product Suite
The Cloud
Smarsh Advantage

Why Choose Smarsh?

Victor Park and Todd G. Schwendiman of Alternative Assets have been long-time users of Smarsh for hosted archiving services and have found us to be the best provider and industry leader for the technology compliance needs of broker-dealers, hedge funds, investment advisors, FINRA members and others throughout the financial industry.

Alternative Assets is partnering with Smarsh to provide hosted solutions for archiving electronic communications, including email, IM and social media platforms such as Facebook, LinkedIn and Twitter.

Email archiving and message management solutions from Smarsh are designed to help your organization meet the myriad challenges created by the proliferation of email and electronic messages and to alleviate the shortcomings of legacy on-premise archiving technologies. The integrated platform enables you to:

  • Enable Compliance and Legal department staff to assume the majority of the day-to-day operations and administration of the message supervision, legal discovery and legal hold processes.
  • Achieve a significant reduction in total cost of ownership. Eliminate expensive storage at both your primary and secondary data centers, and reduce IT personnel costs for support, administration and maintenance.
  • Migrate your archive and legacy data quickly and easily with the support of a dedicated on-boarding team.
  • Automatically realize any system upgrades/enhancements without additional upgrade or maintenance costs.
  • Manage email server and mailbox growth and leverage the mailbox management benefits provided with individual access to the email archive.
  • Automate and implement legal holds, retention policies and customized matter classifications.
  • Leverage Smarsh experience working with firms managing compliance obligations from the SEC, FINRA, IIROC, FSA and other regulatory bodies.
  • Identify, manage and mitigate risk through early case assessment. Take a proactive approach to managing your electronic data and save your organization time and money in litigation and internal investigations. Avoid spoliation of evidence sanctions as dictated by recent decisions and existing case law.
  • Receive best-in-class audit and e-discovery support during regulatory audits and reviews.
  • Produce archived data quickly and securely. Results of a message search can be encrypted and downloaded, produced securely by Smarsh, and/or sent directly to any third party, such as outside counsel, upon request.
  • Enforce governance policies for organizational use of email, social media, instant messaging and other new and emerging electronic communication platforms.
  • Protect the organizational knowledge in your email system and the flow of valuable messages with trusted email continuity and disaster recovery solutions.

Smarsh email and message archiving solutions are designed to help you manage the challenges created by the proliferation of organizational electronic messages. Sign up today!

If you would like to get a personal reference or have questions about Smarsh from a user perspective feel free to call Todd G. Schwendiman, Managing Director of Alternative Assets at (212) 832-7600 and he would be happy to speak with you.

Products Designed to Work Together

The Smarsh email and electronic message archiving platform offers robust supervision, compliance and e-discovery functionality designed to meet the sophisticated needs of highly-regulated industries.

Email Archiving
The flagship of the Smarsh email management suite is its email archiving and compliance solution. Smarsh will capture every email (and attachment) that enters or leaves your organization, as well as internal messages, and preserve them all in evidentiary-quality form. Within the Smarsh Management Console, administrators can leverage best-in-class search, supervision and on-demand export functionality.

finra record retention rules

Virtual Compliance Officer
The Smarsh proprietary policy enforcement engine introduces unparalleled, automated efficiency in message supervision. Systematically classify messages and create group-specific policies based on keywords across every message field. Leverage advanced filters and exclusions, and assign labels, case tags, and message point scores. Apply legal holds and retention policies based on granular criteria. Receive advanced, customizable reports on system activity.

Email Encryption/DLP
The secure messaging and file transfer module enables companies to communicate confidentially and in accordance with emerging data protection obligations. The module can be deployed manually or as a policy-based encryption solution, and was designed to integrate with email supervision procedures. With the Smarsh outbound content filtering (data-leak prevention) solution, you can block, quarantine or take other action on messages before they leave your system.

Social Media and Website Archiving
End-to-end social media compliance solutions from Smarsh give organizations of all sizes the preservation, supervision and policy controls to embrace the emerging regulatory requirements to review and archive content from social networking websites like LinkedIn, Facebook and Twitter. Social media traffic can be captured instantly via proxy and/or through APIs. Depending on the implementation type, Smarsh also offers policy and feature access controls for your organization's social media users.

IM and Collaboration Archiving
Smarsh offers a host of instant messaging solutions for enterprises including smarshIM, Smarsh Hosted IM Proxy, and other corporate archiving for new and emerging platforms and message types. Smarsh also supports integration with Enterprise Unified Communications platforms such as Microsoft Lync and OCS, IBM Sametime, third-party networks such as Bloomberg, Reuters, Pivot and ICE Chat, and collaboration platforms such as Salesforce.com Chatter, SharePoint and Jive.

Mobile Messaging Archiving
The mobile messaging module enables firms to capture, index and preserve multiple forms of mobile device communication. Mobile messages can be captured instantly at either the device or server level.

 

The Smarsh Software-as-a-Service Deployment Model

Delivering Software-as-a-Service solutions that satisfy the most cutting-edge messaging compliance issues.

Security & Privacy

Multiple physical, procedural and technical safeguards are in place to protect and limit access. Smarsh data centers are redundant, geographically-dispersed and SSAE 16 audited. All systems are protected by multi-tiered firewalls and proactively monitored within the Smarsh Network Operations Center. Encrypted access to your data is granted only to your firm’s approved system administrators.

 

Performance

  • Free up storage capacity | Forrester Research survey data indicates that storage capacity requirements are growing between 20 and 40 percent each year.1 By "off-loading" data, your company can free up valuable storage space and optimize server performance. Remove content from your messaging server and migrate it to an archiving platform.
  • Global availability | Full platform functionality is available securely 24-7 via the Internet.
  • Search and produce data quickly | Smarsh offers the storage, database and indexing expertise to ensure optimal search and retrieval times, even as the volume of your archive grows.
  • Seamless updates | Rather than waiting for the release and installation of your software’s next version, Smarsh platform updates are introduced regularly. 

Deployment

  • Rapid on-boarding | Your firm can be up and running on the Smarsh platform in days or weeks rather than a long-term phased timeline. With its diverse and growing client base, Smarsh has encountered a variety of system integration scenarios and manages the deployment process for you.
  • Flexible integration | The unique Smarsh architecture is platform-agnostic and integrates with on-premise (Microsoft Exchange, Lotus and Novell) and Software-as-a-Service (Google Apps for Business and Microsoft Office 365) messaging platforms.

Total Cost of Ownership

  • Predictable pricing | The Smarsh pricing model is not based on storage or disk space, significantly reducing costs for traditional email backup. Pricing is predictable, easy to budget and does not require large capital expenditures.
  • No software/hardware to maintain | Smarsh manages all hardware and software within its data centers, and upgrades are automatic and included as part of the managed service.
  • Minimized internal IT operating burden | Maintain access and ownership of all of your information, and liberate your IT team to focus on core competencies. Smarsh offers support and training as part of its service agreement.

1 In Search of Information Governance in the Enterprise (blog). Forrester Research, Inc. 31 March 2010.

Clients First. People First.

From day one, Smarsh was built on a set of core values - customer service is paramount, technology should be reliable and innovative, and archiving email should be easy.

Superior Functionality

  • Proprietary and purpose-built functionality | The Smarsh platform's search and review functionality was specifically designed to make the archiving and supervision of electronic messages fast and easy. Meanwhile, services have been purpose-built to facilitate compliance with electronic recordkeeping, supervision and data protection obligations.
  • Tools built for automation efficiency | Companies can organize their structural hierarchy into searchable and customizable groups/tiers to manage permissions, set policies and improve search processes. The Smarsh platform's unique features improve efficiency, giving reviewers the ability to create custom tags and flags, move easily between messages with keyboard shortcuts, save searches, and track every action taken on a message with a full audit trail. The platform's Reporting Center can be tailored to create an infinite amount of advanced and customizable reports.
  • The Virtual Compliance Officer | The Virtual Compliance Officer is the only tool in the marketplace that can apply policies to specific groups, assign messages to multiple reviewers, and attach granular scoring to messages so that reviewers can prioritize the highest-risk messages at the top of the review queue. The VCO's flexible notification system can send customizable reports in real-time, or schedule them for daily, weekly, or monthly delivery.

Leadership & Vision

  • Experience & expertise | The Smarsh customer base is almost exclusively drawn from firms in highly regulated industries. Smarsh regularly provides third-party attestation on behalf of clients and helps firms navigate requests for data as part of regulatory examinations, investigations and e-discovery events.
  • Well positioned for the next phase of growth | In 2007, Smarsh surpassed the 1,000-client mark. Today, the company counts over 15,000 clients and is growing very quickly, thanks in large part to the number of clients migrating from on-premise systems or switching to Smarsh from other hosted vendors.

Service & People

  • Smarsh listens | All Smarsh employees are here to help with your needs - small or large. By listening to clients, Smarsh has been able to deliver superior products and customer service. A company culture cultivated through customer service, transparency, and satisfaction is the fabric of the Smarsh reputation.
  • You'll get a dedicated team | The Smarsh implementation team will offload much of your migration burden and manage your onboarding process. At the same time, you will also have our account team to lead your solution training and provide ongoing support.

Transparency

  • The price paid is the price agreed to, with no erratic charges or complicated bills | The price paid is the price agreed to, no erratic charges or complicated bills | The Smarsh model is not based on charges for bandwidth, retention period(s), storage, exports, DVDs or shipping, or "company-wide" support. Honest and straightforward billing processes are important to establishing a relationship built on trust. Clients pay based on actual usage, and are not surprised by reconciliation charges (which could double or triple the cost of service).
  • As simple as it sounds, YOUR data is YOUR data | All of your messages remain online and securely accessible. You can produce messages on-demand, or the Smarsh team can do it for you. Data resides in purpose-built, geographically-dispersed data centers, managed only by full-time Smarsh employees. The company is focused on providing premium support services, not creating a profit center through the extraction of client data.

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