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Help Your Organization...
• Compliantly incorporate Facebook, Linkedin and Twitter into your firm's comm strategies.
• Enforce corporate policy governing the use of social networking websites.
• Satisfy SEC & FINRA regulatory obligations and eliminate compliance deficiencies found in alternative solutions.
• Be prepared with a proactive approach to eDiscovery and early-case assessment. Save your firm time and money in the event of litigation.
• Identify, manage and mitigate risk.
• Combines proactive pre-review and social networking controls with sophisticated archiving and supervision capabilities. |
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The business power and potential of social networking websites like Facebook, LinkedIn and Twitter is undeniable. Unfortunately, so are the compliance risks.
The new end-to-end social media compliance solution from Smarsh gives your firm the preservation, supervision and policy controls to embrace social networking with SEC and FINRA compliance peace of mind. Thoroughly and efficiently navigate the record-keeping, suitability and supervision requirements of FINRA Regulatory Notice 10-06.
The unique solution integrates ground-breaking middleware technology with the industry-leading archiving and compliance functionality from Smarsh. Firms can automate policy company-wide, define which social networking features employees have access to, and review, approve or reject messages before they are posted.
Meanwhile, all messages are captured, preserved and indexed in the secure Smarsh archive. Posts can be searched and produced on-demand. All administrator activity is logged and quantifiable, providing evidence of enforcement and means to evaluate a reasonably designed policy.
Resources to Help Guide You
 Click to download the Companion Guide to FINRA/SEC Social Networking Compliance. It provides a summary of the key FINRA and SEC rules relevant to social media compliance. In addition, we've shared specific social network considerations and reccomendations on how to participate with these networks in a compliant fashion. |
 Why You Need to Focus on Social Networking in Your Company presents IT and business decision makers in organizations of all sizes an overview of the benefits and problems inherent in social networking, what they should consider doing to address these problems, and practice things to consider as they seek to protect their organization. |
 Listen to a webinar featuring Smarsh VP Sam Kolbert-Hyle, Business Development & Strategic Initiatives. The hour-long discussion is a great compliment to the white paper above. A recording key is not required. |
Policy & Control
• Establish controls. Define and enforce which features on social networking sites that employees have access.
• Pre-review/Moderation. Review, approve and reject messages BEFORE they are posted.
• Real-time capture. Social network data is captured in real-time, eliminating compliance defiencies that emerge with most alternative solutions.
Compliance & Supervision
• Compliance. Meet SEC & FINRA compliance requirements, such as message storage in unaltered formats on tamper-proof media, independent third-party attestation, and full audit trail of review activity.
• 360° archiving platform. Supervise use of email, instant messaging, Bloomberg messaging and social media platforms all within the Smarsh Management Console.
• Robust supervision tools. Review individual messages, apply tags, and manage the review process using Smarsh's best-in-class search, review, and reporting functionality. |
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