Communications Compliance

Solutions that solve modern compliance challenges

The proliferation of communication platforms and electronic records has made identifying and mitigating compliance violations a challenge for modern businesses. Organizations need solutions that enable them to capture, search and produce the right content, at the right time. They also need to be able to demonstrate that their policies governing the usage of electronic communications are working as designed. Without the right technology, businesses are opening themselves up to the risk of non-compliance.

For over two decades, we have enabled organizations of all sizes to quickly and easily meet their record retention and oversight obligations. These include mandates from FINRA, SEC, FFIEC, CFTC, NFA, EU (MiFID II), FCA, IIROC and other industry-specific governing bodies around the world. Our advanced capabilities (available on a per channel basis) ensure our customers can carry out proactive compliance measures for specific channels with real-time monitoring, blocking and alerting.

Key compliance challenges


Our Solutions

Comprehensive capture


Communications have evolved far beyond email. Businesses now use a wide array of communication channels that enable their employees to collaborate in unprecedented ways. However, with this growth in communication channels, keeping up with compliance has become increasingly challenging.

Smarsh supports the largest capture coverage in the industry, enabling you to ingest data from over 100 communication channels. Content is captured in its native format, and in full conversational context, with message threading to show how conversations began and developed. This ensures that compliance teams are able to confidently meet regulatory obligations from FINRA, SEC, IIROC, FCA, EU (GDPR and MiFID II) and other governing bodies.

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 Enterprise 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 solutions provide 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 solutions highlight potential risks hidden within your archived data. Sophisticated, customizable supervision policies help you to zero in on the areas of risk that are most relevant to your business. Smarsh can also develop unique policies to meet your firm’s specific needs, and more than 40 templated policies are available to help your organization manage risk. You can implement a range of advanced supervision functions, including multi-tier review queues, action panels, roles, reporting, and escalation. These features ensure the efficient management of risk across all communications channels, as well as the ability to demonstrate evidence of supervision 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 solutions are delivered with 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, WORM-compliant format to meet regulatory requirements.

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