From Chaos to Compliance: Effortless Compliance in a Multi-Channel World
You’re not alone if you’re feeling the pressure to manage a seemingly endless whirlwind of communication channels to ensure your firm meets its recordkeeping and supervision requirements.
Employees and customers continue to adopt new communication channels, which means compliance teams face an increasingly complex job of ensuring that all business-related communications are captured, archived, and supervised. With so much at stake, how can firms ensure the proper governance of their communications data while maintaining operational efficiency?
Why it matters
The pressure is on financial firms to properly manage and archive all communications data, regardless of where that communication occurs. Regulatory authorities like the SEC, FINRA, and CFTC expect firms to retain business-related communications across all channels — whether email, mobile messaging, voice, video, or even AI.
Firms that fail to capture and store electronic communications put themselves at risk, whether from operational inefficiencies, missed opportunities, or compliance blind spots. The cost of these risks is not just financial; it's reputational. Clients and stakeholders expect organizations to handle sensitive data with integrity.
Bottom line: The stakes are high. With Smarsh, you can be confident that your communications are captured, archived and accessible so you’re always ready to respond quickly to audits or investigation requests.
Capture. Archive. Optimize. Win!
When it comes to compliance and data governance, your solution needs to be like an Iron Man suit — powerful and protective. Does your current archiving solution ensure that all regulated communications are stored securely and can be accessed immediately in case of an audit or investigation?
With Smarsh Professional Archive, you can rest assured that all communications, regardless of the channel, are safely captured and archived. Our platform allows for easy retrieval, so you’re always ready for compliance audits and investigative requests without delay.
Innovate internal communication policies
More financial professionals are now using encrypted messaging platforms like Signal, WhatsApp, and Telegram to communicate in addition to email, text messaging and other traditional channels.
While many firms might still prohibit these tools, any messages sent through them still count as business communications that must be captured and archived. Instead of restrictive and often ineffective prohibition policies, firms can integrate mobile capture and archiving technology to ensure they stay compliant without stifling collaboration and innovation.
Smarter compliance with Smarsh AI Assistant
Smarsh recently announced the Smarsh AI Assistant, an advanced feature within Professional Archive. As communications data volume grows, our AI-powered solution accelerates compliance reviews, flags potential risks, and eliminates manual blind spots.
By leveraging AI-driven compliance assistance, firms can increase productivity, reduce operational burdens, and stay ahead of regulatory demands while minimizing the risks of growing data complexity.
The Smarsh advantage
Smarsh offers comprehensive compliance solutions that address the unique archiving governance your firm needs, with flexible contracts so your data remains your own.
Smarsh customers enjoy:
- Comprehensive channel coverage: Smarsh captures and archives 100+ communication channels, including email, mobile messaging, social media, voice, and video, so you don’t have to worry about missing critical communications on any platform.
- Financial services expertise: Smarsh has provided archiving and compliance solutions for financial services for over two decades. We understand the specific regulatory demands and complexities financial institutions face, and our solutions are purpose-built to address those needs.
- AI-powered compliance: The Smarsh platform integrates AI to speed up compliance reviews. This streamlines workflows and ensures your firm is always prepared for compliance audits and investigations.
- YOU own your data: With Smarsh, you retain full control over your data. Access it whenever you need it without costly export fees.
- No blind spots: With Smarsh, you’ll never have to worry about communication blind spots. Our platform ensures that all communications — regardless of channel — are captured, archived, and accessible for review at any time.
Embrace popular communication trends with the industry’s leading regulatory technology. Ensure compliance without limiting your workforce’s communication choices. Smarsh offers solutions that address the unique archiving governance your firm needs.
It’s worth the switch: Learn more about Smarsh Professional Archive Technical expertise
Check out our announcement about Professional Archive AI – integrated Compliance Assistant
Watch it Work to explore the benefits of switching to Professional Archive.
Smarsh is honored to be named a Leader in the 2025 Gartner® Magic Quadrant™ for Digital Communications Governance and Archiving Solutions.
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Scalable for organizations of all sizes, the Smarsh platform provides customers with compliance built on confidence. It enables them to strategically future-proof as new communication channels are adopted, and to realize more insight and value from the data in their archive. Customers strengthen their compliance and e-discovery initiatives and benefit from the productive use of email, social media, mobile/text messaging, instant messaging and collaboration, web, and voice channels.
Smarsh serves a global client base that spans the top banks in North America and Europe, along with leading brokerage firms, insurers, and registered investment advisors. Smarsh also enables state and local government agencies to meet their public records and e-discovery requirements. For more information, visit www.smarsh.com.
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