Simplify Your Oversight, Secure Your Future
Whether you're an asset manager, a trust company, or a bustling broker-dealer, Smarsh delivers the technology and AI expertise to make compliance simple.
AI and regulatory-grade technology purpose-built for growing financial teams
RIAs
RIAs rely on Smarsh to capture and store their communications data to meet their fiduciary duty and comply with SEC Rule 204-2. With Smarsh, you can prove you always act in your clients' best interests. You'll also have a complete audit trail encompassing all business-related communications — from emails to social media.
Wealth managers
Wealth managers trust our robust technology to capture and store all client communications. Every client service interaction, across all financial planning activities, is recorded. This ensures compliance, builds client trust, and allows for quick retrieval in complex financial situations.
Broker-dealers
Broker-dealers depend on Smarsh to capture and store all their communications data. Our technology makes it easy to meet strict regulations like SEC Rules 17a-3 and 17a-4 and FINRA Rule 4511. We ensure every business communication is recorded for audits, market integrity and investor protection.
Full-service brokerage firms
Full-service brokerage firms entrust their communications data to Smarsh. From calls to emails, across all your services, we help you meet strict SEC and FINRA regulations. Lower risk across your broker-dealer and RIA activities as you build client trust.
Banks and trust
Banks and trust companies, especially private banks and wealth divisions, rely on sophisticated Smarsh technology to capture and store data in compliance with complex banking, trust, and securities regulations. Our technology protects sensitive client information and ensures the integrity and accessibility of records across your offerings.
Financial planners and CFPs
Both financial planners and certified financial planners (CFPs) rely on Smarsh to uphold their ethical and fiduciary responsibilities. We can help you maintain detailed records of client discussions and financial plans, demonstrate diligence, protect client interests, and ensure compliance.
The all-in-one compliance platform
Platform
Gain complete oversight with AI technology to address FINRA, SEC, and other regulatory requirements while staying ahead of potential risk. Never miss a communication from messaging applications, email, collaboration software, text messaging, website, AI apps, and more.
Reduce cyber risk
Smarsh Cyber Compliance is a single-pane-of-glass for monitoring, remediating, and reporting on cyber risk. Our foundational data security solutions work as hard as you do — without the heavy overhead. Demonstrate cyber compliance while strengthening your overall security posture.
Compliance innovation without the overhead
Our flexible, all-in-one compliance and risk management platform is specifically designed to meet the needs of growing financial institutions.
Workflows simplified, no compromise required
With AI built for financial services, lean compliance teams can accelerate reviews, reduce manual tasks, and adapt quickly — even as budgets tighten and cycles speed up.
The compliance standard, right-sized for you
Our technology brings credibility, scale, and precision to every compliance challenge. Get the same Smarsh technology relied upon by global institutions and auditors, tailored to your financial bank, firm, office, or team.
Trusted technology, regulatory-grade credibility
Gain regulatory-grade credibility and auditor recognition from day one with the platform trusted by over 6,500 financial firms to navigate compliance with confidence.
Recognized for compliance excellence
Smarsh was named a 2025 Gartner® Magic Quadrant™ Leader for Digital Communications Governance and Archiving Solutions.
Stay ahead with smarter compliance
Give your firm a competitive advantage by choosing the industry’s most trusted compliance technology, purpose-built for growing firms like yours. See how easy it is to gain control of your compliance requirements.