Trusted by Financial Institutions Worldwide
Smarsh Agentic AI workflows help financial institutions navigate evolving SEC, FCA, EU, and global regulatory requirements while accelerating compliance reviews and investigations.
Compliance built for today's global regulatory landscape
Financial services firms face increasing scrutiny across communications, conduct, supervision, and recordkeeping. Smarsh helps firms monitor communications, investigate risks, and demonstrate oversight across channels — supporting requirements from the FCA, EU, and other global regulations.
Built for the complexities of global financial services
Financial institutions face unique regulatory obligations, communication risks, and supervision requirements. Smarsh delivers tailored Agentic workflows designed for your business model.
Wealth management
Agentic AI workflows help wealth managers balance exceptional client experiences with evolving regulatory requirements. Monitor adviser communications, streamline supervision, and maintain compliance with FCA, SEC, FINRA, and global regulations across all communication channels.
- Asset management
- Investment firms
- Clearing firms
- Commodities traders
- Credit rating agencies
- Custodians
- Dual BD and RIA firms
- Hedge funds
- Individual financial advisers
- Mutual funds
- Private equity firms
- Registered investment advisers (RIA)
- Venture capital firms
Investment firms
Strengthen supervision across all communications channels.
Agentic AI workflows help investment firms address FINRA and SEC requirements for supervision, communications recordkeeping, and off-channel communications while accelerating reviews and reducing compliance risk.
Financial Intermediaries including:
- Investment firms
- Hedge funds
- Inter-dealer brokers
- Investment companies
- Investment managers
- Mutual funds
- Pension funds
- Market makers
- REITs
- Swap dealers
Financial advisers
Smarsh helps registered investment advisers confidently meet SEC and other global and state requirements for retention, recordkeeping, and supervision at scale. Designed for firms of all sizes and structures, our platform delivers the clarity and control that financial advisers need to stay compliant, efficient, and competitive.
- Registered Investment Advisers (RIAs)
- Independent Financial Advisers (IFAs)
- Wealth Management Firms
- Financial Planning Boutiques
- Multi-Family Office Operators
- Insurance Brokers & Agents
- Robo-Advisers (RIA-Registered)
- Trust Companies & Fiduciaries
Banking
Agentic AI workflows help banks identify communications and conduct risks, streamline investigations, and support compliance with evolving regulatory requirements. Monitor employee communications across channels while maintaining effective supervision, recordkeeping, and audit readiness.
- High Street Banking
- Corporate Banking
- Customer Credit
- Wholesale Banking
- Capital Markets
- Payment Processing
- Building Society
- Mutual Benefit
- Credit Unions
Private equity & venture capital
Agentic AI workflows help investment firms navigate complex deal operations, fund governance, and regulatory obligations while maintaining transparency across stakeholders. Monitor deal communications, automate compliance workflows, and maintain audit-ready records across deal execution, portfolio management, and investor relations — aligned with SEC, FINRA, and global securities regulations.
- Leveraged Buyout (LBO) Firms
- Growth Equity Firms
- Venture Capital Firms
- Infrastructure & Real Estate Funds
- Private Debt/Credit Funds
- Late-Stage/Pre-IPO Funds
- Family Offices
- Fund-of-Funds
Insurance
Agentic AI workflows help insurers strengthen compliance and supervision across rapidly evolving regulatory landscapes. Monitor communications across channels, detect conduct and compliance risks, and maintain audit-ready oversight — while meeting requirements from the FCA, PRA, and global insurance regulators.
- Commercial General Liability & P&C
- Life Insurance & Annuities
- Health Insurance Providers
- Reinsurance Companies
- Insurance Brokers & Intermediaries
- Specialty Lines (E&O, D&O, Cyber)
- Captive Insurance & Mutuals
FinTech
Agentic AI workflows help FinTech firms scale operations while managing regulatory compliance and consumer protection obligations. Monitor customer communications, detect fraud and market manipulation risks, and maintain audit-ready records — supporting FCA, SEC, FINRA, OCC, and global payments regulations.
- Payment Processors & Gateways
- Digital Banks & Neobanks
- Alternative Lending Platforms
- Buy Now Pay Later (BNPL) Providers
- Robo-Advisers & Wealth Management Tech
- Banking-as-a-Service (BaaS) Providers
- Cross-Border Payment & Remittance Networks
Cryptocurrencies
Agentic AI workflows help FinTech and crypto firms build compliance infrastructure for regulatory growth. Monitor communications across digital channels, detect financial crime and market abuse risks, and maintain records — supporting FCA, SEC, CFTC, and emerging global crypto regulations.
- Cryptocurrency Exchanges (Centralized & Decentralized)
- Crypto Custodians & Wallet Providers
- Blockchain Developers & Protocol Networks
- Staking & Yield Platforms
- Crypto Lending & DeFi Protocols
- Tokenization & RWA Platforms
- Crypto Mining & Validation Operations
- NFT Platforms & Digital Marketplaces
Transform compliance into a competitive advantage
Agentic AI workflows help financial institutions strengthen oversight, accelerate investigations, and navigate evolving regulatory requirements with confidence.
Strengthen AI governance
Safely adopt Microsoft 365 Copilot, ChatGPT, Anthropic Claude and emerging AI technologies with the supervision, recordkeeping, and governance controls required by financial regulators.
Capture every business communication
Preserve communications across email, messaging, voice, social, and collaboration platforms to support recordkeeping obligations and regulatory readiness.
Turn communications into compliance intelligence
Use Agentic AI to uncover risks, identify patterns, and surface insights hidden within communications and unstructured data.
Detect risks earlier
Identify conduct, supervision, and communications risks faster with AI-driven surveillance that reduces manual review and prioritizes what matters most.
Accelerate investigations and regulatory response
Respond quickly to audits, examinations, investigations, and litigation with streamlined discovery workflows and defensible evidence collection.
Trusted by the financial services industry
More than 6,500 financial institutions, including 18 of the top 20 global banks, rely on Smarsh to support compliance, supervision, investigations, and regulatory readiness worldwide.Global compliance for every financial services team
Compliance & risk teams
Strengthen supervision, reduce compliance risk, and accelerate investigations with AI-powered workflows designed for regulated communications.
Legal & eDiscovery teams
Respond faster to audits, examinations, investigations, and litigation with defensible discovery and evidence management.
Technology & information governance teams
Strengthen compliance infrastructure with cloud-native archiving, governance, and data management built for financial services.
Navigate today's most complex regulatory requirements
Stay ahead of evolving regulations with AI-driven compliance, supervision, and investigation workflows built for financial services.
AML & financial crime compliance
Monitor communications and investigate risks that may indicate suspicious activity, policy violations, or emerging compliance concerns.
Global recordkeeping & privacy requirements
Address SEC, FCA, MiFID II, GDPR, CCPA, and other recordkeeping, retention, and privacy obligations.
AI governance & communications compliance
Implement governance controls for Microsoft 365 Copilot, ChatGPT, Anthropic Claude, and other AI tools while maintaining supervision and compliance oversight.
Regulation best interest (Reg BI)
Support compliant client communications, supervision, and recordkeeping requirements for investment firms and advisers.
Recognized market leadership
Smarsh was named a 2025 Gartner® Magic Quadrant™ Leader for Digital Communications Governance and Archiving Solutions.
Achieve stronger compliance and greater efficiency with Smarsh Services
When paired with Smarsh Capture, Archive, Supervision, and Discovery, our experts help you build programs that anticipate regulatory change, control costs, and keep risk teams confident in every interaction.