Purpose-built to solve your compliance challenges
Meet your retention, oversight and content control requirements with confidence.
Identify potential violations faster and more effectively.
Learn more about the Supervision app - to help regulated firms meet compliance requirements.
Smarsh for Compliance
For compliance professionals, electronic communications are often where the “smoking gun” is found. The proliferation of electronic records on different communication platforms can make finding compliance violations challenging. Organizations need to be able to search and produce the right content at the right time and demonstrate that policies to govern usage of electronic communications are working as designed.
Smarsh helps organizations of all sizes meet their record retention and oversight obligations from regulators including FINRA, SEC, FFIEC, CFTC, NFA, MiFID II, FCA, IIROC and other industry-specific governing bodies around the world. Our Control App also enables real-time monitoring, blocking and alerting for proactive compliance for specific channels.
Key сapture challenges
Comprehensive capture & the latest channels
As employees use more and more channels to communicate with clients as well as each other, the challenge of keeping up with compliance grows as well. Smarsh supports over 80 different communication channels with direct source capture. Content is captured in its native format, and in full conversational context, with message threading to show messages in their original context.
Compliant data retention
Each industry uses different communication channels and has its own retention requirements. Organizations need a solution that can adapt to their specific needs. Smarsh enables your organization to capture and preserve your records in an unalterable, compliant format to satisfy compliance with the widest range of regulatory requirements. Data can be captured and sent to an existing archive or retained in our integrated, compliant archive with custom retention periods available to meet your needs.
Being able to find specific information efficiently is key to meeting compliance obligations. Using Smarsh archiving solutions, you can quickly and easily find the right information at the right time. Take advantage of granular, universal, saved and proximity searches across people, dates, files/attachments and all supported channels at market-leading speeds.
Multiple export formats
Once compliance officers have found what they are looking for, it is important to be able to send data to end users quickly and easily. We have a simple workflow for getting data out of the archive and data can be exported to end users in a variety of formats to satisfy regulatory and other requests.
Day-to-day monitoring of communications can become more time-consuming as new channels are enabled for today’s increasingly social and mobile workforce. Compliance teams need efficient and effective tools to enforce the policies established for electronic communications - and to demonstrate compliance.
Our supervision capabilities include an advanced supervision workflow, multi-tier review queues and visual dashboards, action panels, roles reporting, escalation, customizable policies and more to ensure you meet your compliance obligations. Policies and analytics tools surface your business risks and drive proactive decision making.
Flexible deployment & Security
Organizations with specific deployment requirements, like those seeking a single-tenant cloud deployment, need a solution that is flexible enough to meet those needs. Smarsh archiving solutions are delivered with top-tier security, management and operational controls. All data is encrypted in transit and at rest, with stringent access controls, and stored in unalterable, compliant format to meet regulatory requirements.
The Control App
Organizations across all industries face the challenge of identifying sensitive information that may not be managed in accordance with regulatory or information governance policies. This can include proprietary data, trade secrets, material non-public information, or other content that could cause harm to the firm if leaked externally. The Control App from Smarsh allows organizations to leverage supervisory features to inspect content for potential policy violations and guide follow-up by compliance, security, or legal staff to remediate that information risk.
Smarsh capture solutions come with real-time moderation and pre-review capabilities that can be added for specific channels. Clients can proactively monitor communications with Control. Control capabilities include alerts, message blocking, ethical walls, and disclaimers to prevent compliance issues before they happen.
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