In early 2017 in its 2017 Regulatory and Examination Priorities Letter, FINRA noted its plans to introduce a directory of compliance service providers, after surveying firms about the compliance tools and resources they find valuable.
The FINRA Compliance Vendor Directory is available now, as a convenient, one-stop source for firms searching for vendors that offer compliance-related products and services. Smarsh is thrilled to announce we’re included in the new directory as an Email and Social Media Archive vendor.
As a Compliance Vendor Directory participant, Smarsh offers FINRA member firms the most comprehensive archiving platform available today, for retention and oversight of all electronic communications, including social media, email, text messaging, instant messaging, websites, files, collaboration platforms, and more.
FINRA firms of all sizes rely on Smarsh to help them comply with books and records rules (SEC 17a-3 and 17a-4), the FINRA Communications Rules (2210, 2212–2216), supervision guidelines and ongoing guidance around websites, blogs and social media. Smarsh also helps member firms respond to mobile/text recordkeeping, supervision, and content requirements, as recently clarified in FINRA Regulatory Notice 17–18: Social Media and Digital Communications.
If you would like to see what a modern solution for archiving and compliance looks like, attend one of our weekly Watch It Work webinars to learn how your peers meet their electronic communications compliance requirements, in real world scenarios.
For FINRA member firms, getting started with The Archiving Platform from Smarsh is easy. Just call Smarsh at 1–866-SMARSH-1, or request a call here.
For more information, you can also visit www.smarsh.com/services-getting-started.
Founded in 2001, Smarsh helps more than 20,000 organizations meet regulatory compliance, e-discovery and record retention requirements. The company is headquartered in Portland, Oregon, with offices in New York City, Boston, Raleigh, N.C. and London.
For more information, visit www.smarsh.com, follow @SmarshInc on Twitter or like Smarsh on Facebook at www.facebook.com/SmarshInc
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