Agentic AI Compliance for Investment Firms
Agentic AI workflows help investment firms scale operations while managing complex supervisory obligations and regulatory requirements. Capture communications across all channels, detect market abuse and misconduct risks, and maintain audit-ready records — supporting FINRA, SEC, FCA, MiFID II, and global regulations.
The Trusted Choice for Financial Compliance
Confidently meet FINRA recordkeeping, supervisory obligations, SEC storage requirements, FCA communications rules, and MiFID II obligations with a platform and services designed for regulated financial firms. Operate across multiple jurisdictions using the communications channels your customers prefer — mobile, voice, email, AI, video, chat and more — while keeping every record secure, audit-ready, and globally compliant.
Solutions For Every Role
Make compliance an embedded part of every workflow with a modern compliance and data intelligence platform built for the way your team works.
Investment Firms
Communicate compliantly using the communications channels your customers and employees prefer without manual compliance workarounds. Manage multi-jurisdictional requirements seamlessly.
Compliance and Records Managers
Respond to regulatory requests quickly with centralized access to all your communications — fully indexed and audit-ready. Support FINRA, SEC, FCA, and MiFID II reporting requirements.
Supervision Reviewers
Cut through the noise with AI-assisted review and customisable policies. Detect potential market abuse, misconduct, and off-channel communications across global teams.
Attorneys, Clerks, and Legal Staff
Reduce the time and cost of discovery, activate legal holds, and automatically produce content for audits, investigations, or litigation across jurisdictions.
CTOs, CIOs, and IT Staff
Centralize archived communications with secure, tamper-proof, immutable storage that meets all regulatory standards — SEC, FINRA, FCA, and MiFID II requirements.
Operations & Compliance Leadership
Gain real-time visibility into compliance status, supervisory procedures, and regulatory risk across the firm. Streamline exams and demonstrate control effectiveness to regulators worldwide.
Modern Compliance For Every Investment Firm
Investment Firms | Hedge fund | Private equity | Real estate investment trusts | Mutual fund | Pension fund | Investment company | Venture capital | Swap dealer
Scalable Compliance Technology For Investment Firms Of All Sizes
Adapt the platform to reflect your firm's size and structure. Get exactly what you need today, with the flexibility to expand seamlessly as your business grows — whether you operate in the US, EMEA, or globally.
AI-Assisted Supervision
Your always-on compliance partner that intelligently flags potential risks, detects market abuse patterns, and streamlines manual review across multiple jurisdictions.
Always Audit-Ready
Show proof of supervisory procedures with a complete audit trail of every action taken in the platform. Meet FINRA, SEC, FCA, and MiFID II audit requirements.
Secure Compliance
Preserve data on tamper-proof media to satisfy SEC, FINRA, FCA, and MiFID II storage and retention rules.
Fast, Simple Search
Find what you're looking for quickly and reliably across all your archived communications, whether conducting regulatory exams or internal investigations.
Exam-Tested Production
Be prepared for FINRA, SEC, FCA, and other regulatory examinations with on-demand data production. Produce and deliver records without delay with self-service exports.
Easy Management
Manage users and migrate data effortlessly — whether you're a single-office firm, multi-office operation, or global enterprise spanning multiple jurisdictions.Confidently Satisfy Regulatory Obligations
SEC 17a-3
Requires investment firms to maintain timely, detailed records of all securities transactions.
SEC 17a-4
Requires regulated firms to retain, index, and securely store transaction records for set periods.
FINRA Rule 4511
Requires firms to create, preserve, and securely retain required records for at least six years.
FINRA Rule 3110
Requires firms to develop and enforce written procedures to supervise business activities, monitor communications, and ensure compliance with regulatory requirements.
MiFID II
Requires investment firms to record and retain all client communications, including telephone calls and electronic communications. Maintain audit trails of all transactions and orders.
FCA PROD
Requires product governance frameworks, suitability documentation, and communications oversight for fair treatment of customers.
FCA SUP
Requires firms to establish and maintain supervisory procedures with documented processes and audit-ready evidence of compliance.
ESMA Guidelines
Requires systems and controls for market abuse detection, insider trading prevention, and transaction recording across multiple channels.
UK FCA Communications Rules
Requires clear, fair, and non-misleading communications with customers, with retention of all communications in tamper-proof formats.
GDPR
Requires secure storage and processing of personal data with demonstrable compliance controls and the ability to respond to data subject requests.
One Platform, Complete Compliance
Capture
Capture every interaction
Capture communications across mobile, voice, email, AI, video, chat and more — all in their native format with full context. Address rules for communications oversight without manual work or content gaps.
Archive
Archive with audit readiness
Preserve communications in a tamper-proof, immutable archive with fast, indexed access to all communications data. Give your teams the confidence and speed they need for supervision, audits, and innovation.
Surveillance
AI-powered risk detection
Surface potential violations faster with intelligent supervision tools. Use AI to detect risk, minimize false positives, and allow your compliance team to focus on what matters most.
Discovery
Accelerate discovery
Respond to exams, investigations, and litigation in minutes with powerful search, legal hold, and export tools, increasing defensibility and efficiency.
Cyber Compliance
Cybersecurity compliance
Monitor devices, users, and network activity in real time to detect and fix vulnerabilities — from weak credentials to missing encryption — to stay compliant and audit-ready year-round.
Why Smarsh?
Trusted by thousands of regulated firms, Smarsh helps broker-dealers meet rigorous regulatory requirements with confidence. Our secure, scalable platform captures communications across every communications channel and surfaces actionable insights through AI. We help you reduce regulatory risk, accelerate supervision, and stay audit-ready in a fast-moving market.