Communications Compliance
Solutions that solve modern compliance challenges
The explosion of communication platforms and electronic records has made compliance oversight increasingly complex. Organizations must be able to capture, search, and produce the right content at the right time — while proving that their policies on electronic communications are effective. Without the right technology, they risk non-compliance.
For over 20 years, we’ve helped organizations of all sizes meet record retention and oversight mandates from FINRA, SEC, FFIEC, CFTC, NFA, EU (MiFID II), FCA, IIROC, and other regulators worldwide.
Key compliance challenges
Challenges
Our Solutions
Comprehensive capture
Business communications have expanded far beyond email. This growth makes compliance increasingly complex.
Smarsh offers the industry’s broadest capture coverage, ingesting data from 100+ channels in native format with full conversational context. Message threading shows how discussions start and evolve, helping compliance teams confidently meet regulatory obligations.
Unified archive
Each industry uses a different mix of communication channels and has to meet specific retention requirements. Organizations need a solution that is effective and 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 your existing archive or retained in our integrated, compliant, context-aware Smarsh Archive. Custom retention periods are available to meet your specific business needs.
Advanced search
Being able to efficiently find the information you need is crucial in order to meet compliance obligations. Smarsh archiving provides compliance teams with granular, universal, saved, and proximity search functions that can scan across people, dates, files, and attachments. Searches can be carried out across all supported channels at industry-leading speeds.
Multiple export formats
Once compliance teams 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 that ensures compliance teams can get data out of the archive and exported in a variety of formats to satisfy regulatory and other requests.
Sophisticated supervision
A key challenge facing compliance teams is identifying potential risk across all business-related electronic communications. Without the right supervision tools in place, manual reviews of messages across multiple channels waste considerable time and resources.
Smarsh archiving surfaces hidden risks with customizable or templated supervision policies, plus advanced tools like review queues, reporting, and escalation — streamlining oversight and demonstrating compliance to regulators.
Flexible deployment
Organizations with specific deployment requirements, like those seeking a single-tenant cloud deployment, need a solution that is flexible enough to meet those specifications. Whichever deployment option you choose, Smarsh archiving delivers top-tier security, management and operational controls. All data is encrypted in transit and at rest, with stringent access controls. All data is stored in an unalterable format to meet regulatory requirements.
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