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Smarsh solutions for

SEC regulated firms

Implement and enforce electronic
communications recordkeeping and
oversight policies for compliance
with SEC regulations.

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RIAs, HEDGE FUNDS AND PRIVATE EQUITY FIRMS TRUST SMARSH

 
hewitt ennisknupp
standard life investments
sequoia capital

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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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.

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BENEFITS FOR SEC-Registered Firms OF ALL SIZES

Regulatory Compliance

Preserve and store data on tamper-proof media to meet Rule 204–2 and 206(4)-7 of the Investment Advisers Act of 1940.

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.

Third-party Downloader

Satisfy Rule 204–2 and 206(4)-7 of the Investment Advisers Act of 1940 requiring that a third-party have the ability to furnish data to the SEC.

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 SEC-Registered Firms