solutions_Industry_compliance_sliderbkg

The financial services
industry’s choice for

comprehensive archiving

Helping more broker-dealers, investment advisors,
lenders, banks and insurers meet their regulatory
retention and supervision obligations.

Read the Solutions Brief

Smarsh helps more than 20,000 global customers in the financial services industry, including broker-dealers, investment advisors, hedge funds, private equity firms, exchanges, commercial and retail banks, lenders and insurers, meet their content retention and oversight obligations with confidence.

Whether it be producing data for regulatory audits, examinations and e-discovery events, or enforcing your organization’s written supervisory procedures across an expanding compliance perimeter, leverage Smarsh technology, experience and best practices to meet your compliance needs faster and more effectively. The Archiving Platform from Smarsh has established the industry standard for the efficient review and production of content from the channels that your firm uses to communicate.

Broker-dealers
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.
Learn More

Investment Advisors
Smarsh helps registered firms, including investment advisers, hedge funds, private equity firms, and venture capital firms implement and enforce electronic communications recordkeeping and oversight policies for compliance with SEC and CFTC regulations.
Learn More

Futures and Transfer Agents
Smarsh helps firms registered with the NFA, the derivatives industry’s self-regulatory organization, meet NFA, CFTC and SEC recordkeeping and oversight obligations.

Lending Compliance
Mortgage companies, credit unions, banks, payday lenders, foreclosure relief services and debt collectors are required to effectively retain and monitor digital content, including social media and website communications. Smarsh helps lenders of all stripes comply with FFIEC guidance and monitor for compliance with Fair Lending Laws, Truth in Lending Act or the FTC’s rules on Unfair, Deceptive or Abusive Acts.
Learn More

Investment Dealers (Canada)
Smarsh helps IIROC member firms meet the recordkeeping and supervision responsibilities mandated in IIROC Rule 29.7, IIROC Notice 11–0349 and National Instrument 31–103.

Investment Advisers (UK)
Smarsh helps FCA-registered organisations stay ahead of evolving retention and supervision requirements for email, social media, instant messaging, web content and more.
Learn More

“We selected Smarsh for the functionality provided, ease of use and commitment to support.”

Securities America Enlists Smarsh to Make Social Media, Email Compliance More Efficient: Securities America needed to incorporate social media into marketing and customer relationships, meet compliance regulations set by FINRA and enable rapid response to data production requests.

- Doreen Griffith Executive Vice President & Chief Information Officer, Securities America

Read More

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.

Learn More

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.

Learn More

Email Encryption

Protect sensitive files, attachments, and other shared information across most popular email platforms. Flexible and customizable email security policies reduce the risk of punitive and damaging consequences. Features a complete audit trail to help you meet regulatory compliance requirements.

Learn More

Learn more about Smarsh solutions for financial industries