PRODUCT SPOTLIGHT: Stay up to date on the latest enhancements to Supervision

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Reveal and manage risk

Increase your reviewer productivity
with our industry-leading supervision solutions.

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Spot the risk that matters, faster

The volume and variety of electronic communications in your organization is increasing, fast. You need to systematically monitor these communications to stay compliant with global regulatory requirements, including FINRA, SEC, IIROC, FCA, GDPR and MiFID II. Empower your supervision team with a purpose-built solution designed for today’s communications and regulations.

How it works

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Our customizable policy engine applies granular filters to employee communications to surface policy violations while reducing false positives.

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Your team collaborates on efficient review of a high volume and variety of archived data, all retained in full conversational context.

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Satisfy evidence of supervision to auditors through our advanced reporting. Gain vital insights from your supervised data through our open APIs.

Key capabilities

to deliver on compliance requirements and manage risk

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Context preservation

Smarsh captures and retains all communications across 80+ supported channels in full, threaded conversational context with point-in-time snapshots of entire interactions. The result is faster, more effective supervision review.

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Specialized review workflows

Facilitate efficient team-based supervision with specialized review workflows. Reviewers can mark, assign or escalate messages, add notes and view all message details in one centralized platform.

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Advanced policy management

Apply our robust, customizable policy engine or our library of 40+ template policies to eliminate white noise and make your supervision work more effective. Be confident in your ability to meet global regulatory requirements from FINRA, IIROC, FCA, MiFID II and more. Additionally, leverage our expert Professional Services Team to maximize the value of your policies with health checks and policy tuning to meet the specific needs of your firm.

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Configurable workflows

Adapt supervision workflows to meet your organization’s unique requirements. Whether your organization uses a centralized or decentralized review model, you can easily implement a solution to view and manage the messages you need to see. Configure custom escalation queues to effectively identify and respond to messages that require urgent attention.

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Customizable reporting

Generate reports that demonstrate your review process in action and enable the evaluation of your policies and procedures. Provide full audit trails with the ability to show activity on every message in your archive.

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Legacy data migration

When migrating legacy data to Smarsh, customers have the option to preserve a limited amount of legacy supervision data as metadata with each supervised message/document. This is a lightweight, auditable and truly advanced method of supervision data preservation. This will keep migration durations and costs reasonable. It also circumvents the complexity and high risks associated with attempting full supervision data migration. At the same time, this method offers full legacy supervision data searchability and discovery, without the need to search multiple systems. This unique feature is only available from Smarsh for Enterprise Supervision.

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Platform extensibility

Enterprise Supervision offers API extensibility so you can integrate your archived data with your downstream trade, voice, or behavioral analysis tools. Supervision teams can use our APIs to surface surveillance analytics showing violation trends or to identify high risk employees and their sentiments amongst other use cases.

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Platform Intelligence

A common problem in supervision is repeated policy violations triggered by email messages that contain the previous thread appended to replies or forwards. These messages get repeatedly flagged, even after the original policy violation has been addressed in review. Enterprise Supervision introduces Echo Cancellation, an intelligent algorithm with the ability to identify, tag and close these echo email messages automatically. Echo Cancellation reduces noise and increases review efficiency, allowing your supervision teams to review the same amount of content with less effort.

Choose the edition that meets your needs

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Equipped with an advanced policy engine and review tools, Enterprise Supervision is designed to meet the complex compliance needs of large, regulated organizations. Deployed on your choice of multiple leading cloud infrastructure providers, it can be integrated seamlessly with the Enterprise Archive and is easily extensible to third-party downstream tools.

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Included as part of the Professional Archive offering, Professional Supervision is the ideal supervision solution for small and mid-size organizations. A comprehensive, user-friendly compliance platform, the Professional Archive includes capture, archive, supervision and discovery for 80+ electronic communications out of the box.

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Still have questions?

Talk to our sales team who will walk you through our plans and the different options for your organization.