FINRA firms of all sizes rely on Smarsh to help them comply with books and records rules (SEC 17a-3 and 17a-4), the FINRA Communications Rules (2210, 2212-2216), supervision guidelines and ongoing guidance around websites, blogs and social media.
Smarsh helps registered firms, including investment advisers, hedge funds, private equity firms, and venture capital firms implement and enforce electronic communications recordkeeping and oversight policies for compliance with SEC and CFTC regulations.
Futures and Transfer Agents
Smarsh helps firms registered with the NFA, the derivatives industry’s self-regulatory organization, meet NFA, CFTC and SEC recordkeeping and oversight obligations.
Mortgage companies, credit unions, banks, payday lenders, foreclosure relief services and debt collectors are required to effectively retain and monitor digital content, including social media and website communications. Smarsh helps lenders of all stripes comply with FFIEC guidance and monitor for compliance with Fair Lending Laws, Truth in Lending Act or the FTC’s rules on Unfair, Deceptive or Abusive Acts.
Investment Dealers (Canada)
Smarsh helps IIROC member firms meet the recordkeeping and supervision responsibilities mandated in IIROC Rule 29.7, IIROC Notice 11-0349 and National Instrument 31-103.
Investment Advisers (UK)
Smarsh helps FCA-registered organisations stay ahead of evolving retention and supervision requirements for email, social media, instant messaging, web content and more.