A Trusted Partner for Financial Services
The world’s top financial institutions rely on Smarsh to manage communications data and meet regulatory requirements with ease.
Compliance that keeps up with how financial services firms work
Communication is happening across more tools, channels, and geographies than ever — creating massive amounts of data and increasing regulatory risk. Smarsh delivers the visibility and control you need to securely capture, monitor, and mine communications data at scale. Our AI-enhanced platform helps firms like yours stay ahead of evolving compliance demands and unlock value from every conversation.
Compliance that scales with your business
Firms of all sizes face rapidly changing communication preferences and evolving regulatory guidance. Whether you're a growing advisory firm or a global enterprise, our technology scales to meet your needs today and tomorrow.
Wealth management
Engage clients on their preferred channels while addressing SEC, FINRA, and global regulations. Smarsh helps wealth and asset management firms of all sizes communicate securely, compliantly, and with confidence.
- Asset management
- Broker-dealers and brokerage firms
- Clearing firms
- Commodities traders
- Credit rating agencies
- Custodians
- Dual BD and RIA firms
- Hedge funds
- Individual financial advisors
- Mutual funds
- Private equity firms
- Registered investment advisors (RIA)
- Venture capital firms
Broker-dealers
Our AI-driven platform streamlines supervision and recordkeeping across all channels — giving brokerage firms of all sizes the oversight they need to stay compliant, efficient, and competitive.
- Broker-dealers
- Hedge funds
- Investment companies
- Mutual funds
- Pension funds
- Private equity
- REITs
- Swap dealers
- Venture capital firms
RIAs
Smarsh helps registered investment advisors confidently meet SEC and state requirements for retention, recordkeeping, and supervision at scale. Designed for firms of all sizes and structures, our platform delivers the clarity and control that RIAs need to stay compliant, efficient, and competitive.
- Registered investment advisor
- Wealth management
- Individual financial advisor
Banking
From regional institutions to global banks, Smarsh delivers scalable retention and oversight solutions that support risk, surveillance, and audit. One trusted, cloud-native platform is purpose-built to meet the evolving demands of a global regulatory environment.
- Credit unions
- Global banks
- Investment banks
- Retail banks
- U.S. regional banks
- U.S. community banks
Smarter compliance, stronger outcomes
Turn compliance into a competitive edge with AI-enhanced compliance built for scale, security, and speed.
Use AI, compliantly
Use tools like Microsoft 365 Copilot and ChatGPT with the necessary supervision, archiving, and governance capabilities required to meet financial regulations.
Capture every conversation
Preserve communications across all channels — from email and messaging to voice and video. Capture content in full context and original format, so you can meet evolving compliance standards with confidence.
Unlock intelligence from your data
Transform unstructured communications into a single, enriched source of truth. With built-in indexing and contextualization, extract insights, increase efficiency, and turn compliance into a strategic advantage.
Spot and act on risk, faster
Cut through complexity with AI-elevated supervision and surveillance. Customize policies, automate reviews, and identify potential risks quickly, accurately, and with fewer resources.
Simplify discovery and regulatory response
Respond to audits, investigations, and litigation requests with speed and precision. Easily search, package, and produce compliant exports — saving time, reducing cost, and increasing defensibility.
Trust the proven leader
More than 6,500 financial firms worldwide rely on Smarsh, including top global banks, broker-dealers, RIAs, and insurers.From financial services startups to global leaders — we've got your compliance covered
Trusted by the world's leading financial institutions — and the next generation of financial services leaders — Smarsh delivers the expertise, scale, and support you need to move forward with confidence.
Records and compliance managers
Access all your communications data from a single, searchable platform. Respond to regulatory requests quickly and manage audits or internal reviews with confidence.
Attorneys, clerks and legal staff
Accelerate e-discovery and reduce cost with advanced search, legal hold capabilities, and automated content production for audits, investigations, and litigation.
CTOs, CIOs
and IT staff
Modernize your infrastructure with a secure, cloud-native platform. Retain full-context communications, streamline data access, and scale beyond basic archives.
Mastering financial regulatory compliance
SEC Investment Advisers Act Rule 204‑2
Requires RIAs to maintain and preserve accurate communications and records.
FINRA Rules 2090 (KYC) and 3110
Broker‑dealers must collect client information, maintain supervisory frameworks, and enforce controls.
Regulation Best Interest (Reg BI)
Requires broker‑dealers to act in clients' best interest and deliver Form CRS via FINRA/SEC mandate.
Bank Secrecy Act / AML / KYC Standards
Enforce anti-money laundering programs, customer due diligence, and suspicious activity reporting across the U.S.
Global Privacy/Data Retention Laws (GDPR, CCPA, MiFID II)
Enforce data protection, retention, and access rights across jurisdictions.
AI Governance and Technology Oversight
Regulators, such as FINRA and the SEC, expect firms to apply existing compliance frameworks — including supervision, recordkeeping, and risk models — to AI tools.
Recognized market leadership
Smarsh was named a 2025 Gartner® Magic Quadrant™ Leader for Digital Communications Governance and Archiving Solutions.
Talk to the experts in financial services compliance
Whether you're navigating AI governance, managing global privacy regulations, or facing growing data volumes, we can help. Speak with a Smarsh expert to learn how we convert complex communications into clear, manageable, compliance.