Regulated firms are in a tough spot
FINRA, SEC, and other regulators are requiring the retention and more in-depth review of an ever-expanding array of content types. Employees want to take advantage of the newest communication tools to grow and keep in touch with their client base, but each new communication tool adds to the supervision workload - and the sheer volume of content requiring monitoring continues to grow exponentially. As a result, the time and cost associated with the human effort required to conduct thorough reviews skyrockets as you try to keep pace with a process that is inherently inefficient. The only choice appears to be hiring yet another reviewer or rolling the dice knowing that there are new and widening gaps in your supervision process that will expose you and your organization to compliance risks, potential audits and examinations.
Supervision Assisted Review™
IS THE SOLUTION
You can optimize your supervisory procedures with the Assisted Review program. Among other benefits, preliminary message review is performed by Smarsh Certified Professionals, allowing your compliance team to focus only on the most important messages, reducing the time you spend on supervision. Ongoing analysis helps you maintain best practices in archiving and compliance. The Assisted Review program aligns with regulatory requirements, including FINRA 3110.08 (Delegation of Correspondence and Internal Communication Review Functions), and brings together the advanced technology of our archiving platform with other expert services from Smarsh.
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