Compliance confidence for financial services communications

Summitas enables financial services professionals to communicate seamlessly with clients and each other. As these communications are subject to regulatory requirements, they must be securely stored and supervised. With Smarsh, Summitas customers can capture, retain and supervise their communications. Communications are automatically ingested, indexed and retained in a search-ready state in the Smarsh archive.

  • Reduce complexity: Search for and review Summitas content alongside 100+ communications in one archiving platform. View the full context of Summitas conversations with native capture and message threading.
  • Mitigate risk: Apply policy controls at a global or group level to help meet regulatory, legal and corporate obligations. Administrators can set up policies to flag keywords across messages and in-file text to pinpoint any violations.
  • Communicate compliantly: Capture Summitas content regardless of the user’s device, location or network for your compliance and e-discovery needs. All content is automatically ingested, indexed, and retained in the Smarsh archive to meet strict SEC, FINRA and other compliance requirements.
  • End-to-end security: Whether data is in transit or at rest.

Key Features

API driven Capture

Direct source capture

Capture Summitas content in its original format, direct from the source. Content is retained in its native format with chain of custody preserved.

Message threading and attachments

All messages are captured together with attachments. Message threading displays conversations as they originally happened for ease of review. 
Capturing communications in full and in context

Context preservation

Smarsh captures all content in full conversational context for the best visibility into what happened and when.

Content monitoring

Define policies based on keywords and patters (regular expressions) to flag content. The policies can be targeted at specific groups. With certain deployments, alerts on policy violations can be generated and send to risk managers, supervisors or an employee’s manager.

Powerful search

Search for Summitas content based on user, date range, keywords, or content tagged to specific cases, events or topics.
Personas and Identity Management

Profile and identity management

Smarsh supports automated directory synchronization for unified identity and profile management
External archiver support icon

Smarsh or external archive support

Retain Summitas communications in the Smarsh Enterprise Archive – an immutable and context-aware data store – or any other archive, application or data lake.