EFFECTIVE POLICY MANAGEMENT:

Saving Time and Increasing Efficiency For Securities America

EFFECTIVE POLICY MANAGEMENT COURSES

For each participating firm, will be conducted a Trending Analysis based on your archived data within the Smarsh Archiving Platform and three (3) recommendations will be provided to make your firm’s policy management more effective.

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Effective policy management courses

The Smarsh Effective Policy Management course will walk your team through the process of setting up policy rules, applying status exclusions, performing searches and effective results reporting. At the end of the class you’ll be able to reduce white noise, identify risks, and customize your Policies.

Participants will learn how to:

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Review the full set of Policy Rules available to choose from within the Smarsh Archiving Platform

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Select a pre-set Policy Rule from the Smarsh Archiving Platform (e.g., Anti-Money Laundering) and manually enter the lexicon

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Apply action or status to the
matching messages

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Apply exclusions to improve
the resulting hit rate

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Build a Policy Rule around a specific
regulation

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Compare and contrast effective vs. ineffective policy rules based on Smarsh best practices

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Perform a search
based on tags

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Access out-of-the-box report that shows resulting “Hit Rate” based on policy rule flags

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Walk through real-life
case studies

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Leverage Smarsh services for audit search / export assistance, policy customization and ongoing tuning