Hedge Fund/Private Equity

Making SEC Compliance Easy for Private Fund Advisers

As a provider that understands the needs of hedge funds and private equity firms, Smarsh gives you the tools to implement and enforce effective electronic recordkeeping and data protection policies for hedge fund compliance and private equity compliance with SEC books and records obligations. The hosted email and message archiving platform makes it easy to:

• Create a culture of compliance. Promote investor confidence with a demonstrative commitment to transparent operation, regulatory compliance and data security.
• Benefit from the best practices framework and hands-on support provided to thousands of new firms registering with the SEC or encountering compliance mandates for the first time.
• Locate and produce electronic communications quickly, and be prepared for SEC examinations or requests with on-demand data production.
• Automatically preserve all electronic communications and store securely on tamper-proof media for their designated retention period(s).
• Be prepared for E-discovery. Take a proactive approach to managing your electronic data and save your organization time and money in litigation and internal investigations.
• Customize your firm’s supervision policies without technology limitations. Configure company-approved keyword lists. Automate policy enforcement and streamline compliance review procedures with systemized search criteria.

Let Smarsh Make It Easy For You

The Customer Experience

Strong relationships with our clients are the key to our success and our industry-leading reputation, reflected in every element of your customer experience. With Smarsh, you won’t have to worry about unanswered phone calls or email requests. Each client has a dedicated account manager, an implementation team, and access to a full-service support team, working 24/7/365.

Expertise in Financial Services

Let Smarsh make it easy for you. Leverage the best practices framework and insight provided to thousands of clients registering with the SEC or encountering compliance mandates for the first time. Our account managers and support engineers will bring your firm online seamlessly, and provide the essential training to get your electronic recordkeeping initiatives up to speed quickly.

A Flawless SEC Examination Track Record

We understand that when you’re going through an examination, email retention is just one of many issues to manage. Whether its producing data or generating evidence of compliance review, Smarsh helps its clients pass examinations every day. If you need help, the Smarsh team will be there every step of the way.

Lessons from Experience

Our service was designed to help clients navigate SEC/FINRA electronic recordkeeping, supervision and data protection obligations. Services need to be unquestionably reliable and support staff must respond to queries with urgency. The security and integrity of your mission-critical data is paramount. Solutions need to provide measurable and systematic transparency and robust accountability controls for your peace of mind and protection. Confront the multiple challenges created by changing regulations, emerging technologies and increased scrutiny with confidence.

Perpetual Innovation

Smarsh has built a reliable, robust and multi-dimensional platform of integrated solutions. System upgrades and enhancements are introduced regularly, and powerful systems are matched with an intuitive user experience.

Control Your Own Data

All of your messages remain online and securely accessible, and you can produce messages from your archive and burn them to DVD on-demand. Or call Smarsh, and the team will do it for you. As part of your service, we also send you encrypted DVDs monthly, so you have a copy of your data on-site.