securities america

Securities America Taps Smarsh Professional Services to Reduce Electronic Communication Compliance Review by 8,000 Messages Per Day

At one point, Securities America, a large, independent broker dealer, was seeing approximately 19,000 email messages a day flagged for review in the Smarsh Professional Archive. Their supervision team was backlogged and overwhelmed with work. With the help of Smarsh Professional Services, Securities America was able to significantly reduce the number of messages flagged for review by eliminating unnecessary noise and non-critical messages from queues.