solutions_Industry_FCA_BKG

Smarsh solutions for

FCA regulated firms

Manage your retention and supervision
requirements for email, social media,
instant messaging, web content and more
to deal effectively with any claims or complaints.

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TRUSTED BY LEADING GLOBAL FINANCIAL INSTITUTIONS

 
standard life investments
Guggenheim
Cetera Financial Group

We understand the complex compliance needs of regulated firms like yours. We’ve pioneered best practices in electronic communications oversight and helped customers through thousands of regulatory audits and e-discovery events. We’ve designed our solutions to help you meet the legal and regulatory compliance mandates that shape the market landscape today.

The Archiving Platform

Join the many thousands of Smarsh customers in regulated industries enjoying the benefits of a unified, search-ready repository and interface for lightning-fast, powerful e-discovery and automated, policy-based compliance supervision for all of their email, instant messaging, text, web, video and social media communications.

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Web Archiving

Maintain a comprehensive history of your website’s evolution. Web archiving instantly captures revisions, documents, links to third-party content, and interactive features—without losing their context or functionality. Website content is reliably retained in its original form and it can be easily accessed and produced.

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BENEFITS FOR FCA-Registered Firms OF ALL SIZES

Regulatory Compliance

Preserve and store data on tamper-proof media to keep records of significant digital communications.

Exam Tested

Locate and retrieve electronic communications quickly, and be prepared for regulatory examinations with on-demand data production.

Compliance Workflow

Customize supervision policies and keyword lists, and streamline compliance review workflow for your compliance reviewers.

On-Demand Production

Securely export data for further legal or regulatory review.

Audit Trail for Compliance

Show proof of supervisory procedures through a detailed audit history of every action taken in the platform.

Administration & Migration

Whether you’re a 1-person firm or have 1000s of branches, it’s easy to manage users and to migrate data.

State-of-the-Art Security and Encryption

Smarsh Social Media Archiving

SECURITY

Our fully redundant SSAE16 SOC2/3 data centers meet the Systrust security control set, including floor-to-ceiling walls, key-card biometric readers, and 24–7 surveillance and security.

Smarsh Social Media Archiving

PRIVACY

There is no higher priority than the privacy and security of our customers’ data. We comply with global privacy and data protection regulations, including US-EU Safe Harbor Certification.

Smarsh Social Media Archiving

PERSONNEL

Physical and logical access of our data centers and offices s restricted to Smarsh employees only. We run rigorous background checks on all employees.

Smarsh Social Media Archiving

ENCRYPTION

User authentication for the Archiving Platform is via 256-bit SSL encryption. Data is protected using forced 2048-bit SSL and TLS encryption.

Learn more about Smarsh solutions for FCA-Regulated Firms