Hedge Fund/Private Equity

hedge fund compliance
Overview
Products
Smarsh Advantage
The Cloud

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.

Suite Of Solutions For Private Equity Firms & Hedge Funds

All services within the Smarsh integrated suite are centrally administrated through the web-based Smarsh Management Console. Permissioned administrators can review electronic communication, implement classification, data-leak prevention and encryption polices, and analyze the effectiveness of these policies through comprehensive and customizable reporting.

Email Archiving
The flagship of the Smarsh email management suite is its email archiving and compliance solution. Smarsh will capture every email (and attachment) that enters or leaves your organization, as well as internal messages, and preserve them all in evidentiary-quality form in a central repository. Leverage best-in-class search, supervision and on-demand export functionality.

Virtual Compliance Officer
The Smarsh proprietary policy enforcement engine introduces unparalleled efficiency in message supervision. Save your compliance department time while increasing the effectiveness of your monitoring procedures with automation. Systematically classify messages based on keyword violations, complaints, advertising, privileged communication and more, and significantly reduce "false-positive" search results.

Email Encryption/DLP
With the Smarsh policy-based encryption/DLP engine, automatically enforce the delivery of messages based on established criteria. Email traffic is routed through the proprietary policy engine, which scans and takes action on each message before delivery. Administrators have options, including encrypting messages through a secure, web-based messaging platform or via Transport Layer Security (TLS), blocking messages altogether or sending messages to a pending queue for approval.

Social Media Archiving
End-to-end social media compliance solutions from Smarsh give organizations of all sizes the preservation, supervision and policy controls to embrace the emerging regulatory requirements to review and archive content from social networking websites like LinkedIn, Facebook and Twitter. Social media traffic can be captured instantly via proxy and/or through APIs. Depending on the implementation type, Smarsh also offers policy and feature access controls for your organization's social media users.

Web Archiving
The Smarsh Web Archiving service crawls any website and captures each Web page and all of its contents (including audio, video, RSS feeds, blogs, social feeds, slideshows, PDFs, JavaScript and more) in original format, providing the precise record of what was published online at any specific point in time.

IM and Collaboration Archiving
Smarsh offers a host of instant messaging solutions for enterprises including smarshIM, Smarsh Hosted IM Proxy, and other corporate archiving for new and emerging platforms and message types. Smarsh also supports integration with Enterprise Unified Communications platforms such as Microsoft Lync and OCS, IBM Sametime, third-party networks such as Bloomberg, Reuters, Pivot and ICE Chat, and collaboration platforms such as Salesforce.com Chatter, SharePoint and Jive.

Mobile Messaging Archiving
The mobile messaging module enables firms to capture, index and preserve multiple forms of mobile device communication. Mobile messages can be captured instantly at either the device or server level.

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.

The Benefits of the Smarsh Cloud Model

Security & Privacy

You always maintain ownership and control of your data. Multiple physical, procedural and technical safeguards are in place to protect and limit access to your data. Smarsh data centers are redundant, geographically-dispersed and SSAE 16 audited. All systems are protected by multi-tiered firewalls and proactively monitored within the Smarsh Network Operations Center. Encrypted access to your data is granted only to your firm's approved system administrators.

 

Performance

  • Free up storage capacity | Forrester Research survey data indicates that storage capacity requirements are growing between 20 and 40 percent each year.1 By "off-loading" data, your company can free up valuable storage space and optimize server performance. Remove content from your messaging server and migrate it to an archiving platform.
  • Global availability | Full platform functionality is available securely 24-7 via the Internet.
  • Search and produce data quickly | Smarsh offers the storage, database and indexing expertise to ensure optimal search and retrieval times, even as the volume of your archive grows.
  • Seamless updates | Rather than waiting for the release and installation of your software’s next version, Smarsh platform updates are introduced regularly. 

Deployment

  • Rapid on-boarding | Your firm can be up and running on the Smarsh platform in days or weeks rather than a long-term phased timeline. With its diverse and growing client base, Smarsh has encountered a variety of system integration scenarios and manages the deployment process for you.
  • Flexible integration | The unique Smarsh architecture is platform-agnostic and integrates with on-premise (Microsoft Exchange, Lotus, Novell, etc.) and SaaS (Microsoft Office 365 and Google Apps for Business, for example) messaging platforms.

Cost

  • Predictable pricing | Smarsh does not charge for storage or disk space, significantly reducing costs for traditional email backup. Pricing is predictable, easy to budget and does not require large capital expenditures.
  • No software/hardware to maintain | Smarsh manages all hardware and software within its data centers, and upgrades are automatic and included as part of the managed service.
  • Minimized internal IT operating burden | Maintain access and ownership of all of your information, and liberate your IT team to focus on core competencies.

1 In Search of Information Governance in the Enterprise (blog). Forrester Research, Inc. 31 March 2010.

Use the filters below to find regulations and laws relevant to you and your company.

© 2013 Smarsh, Inc. All rights reserved. The Smarsh logo and name are registered trademarks of Smarsh, Inc. The Bloomberg name and logo are trademarks
of Bloomberg Finance L.P. or its subsidiaries. All other logos, company names and product names are property of their respective companies.