Financial Services compliance solutions
Helping broker-dealers, investment advisors, lenders, banks, and insurers to meet their regulatory retention and supervision obligations.
Smarsh for Financial Services
Corporations are expanding their use of new communication tools to increase productivity at work, but it also leaves financial organizations vulnerable to the risks of non-compliance if they don’t have solutions in place to meet their regulatory needs.
Smarsh helps more than 6,500 global customers in the financial services industry, including broker dealers, investment advisors, hedge funds, private equity firms, exchanges, commercial and retail banks, lenders, and insurance agents, to meet their content retention and oversight obligations. Smarsh enables efficient review and production of specific content from the channels your organization uses for business communications every day.
Key financial services challenges
Challenges
Our Solutions
Comprehensive Capture
Organizations need to capture the full range of communications data to satisfy FINRA, SEC, IIROC, FCA, GDPR and MiFID II requirements. Smarsh supports over 80 communication channels with direct source capture across email, IM & collaboration, social, mobile, voice and web. Content is captured in its native format, retaining and presenting messages in their original context. Upon ingestion into the archive, content is automatically indexed and made searchable.
Compliant Storage & Retention
All captured content is stored in immutable and compliant format to satisfy the full range of regulatory requirements. Data can be sent to an existing archive or retained in a Smarsh, integrated, compliant archive with customizable retention periods and multiple deployment options.
Multiple Export formats
Producing specific data for regulatory audits and examinations needs to be quick, easy and thorough to enable organizations to meet evolving regulatory compliance requirements. Smarsh archiving solutions support multiple export formats, enabling you to extract relevant data and send it to regulators or other end users in the format they require. Our advanced search capability helps you to zero in on what you're looking for in the archive, making the production process fast and efficient.
Discovery Workflow
Preparing for e-discovery events is a challenge for financial services companies especially around information management. Our streamlined discovery workflow enables you to reduce risk as well as litigation costs by making it fast and efficient to find, access, control, archive and export content across all your communications channels.
Supervision Tools
The need to enforce supervisory procedures and execute on timely message review means companies need the right tools at their disposal. Our advanced supervision tools help you to create policies and enforce procedures around risk. Complete with multi-tier review queues, action panels, roles, reporting, escalation, customizable policies and more, Smarsh provides comprehensive capture and archiving solutions for managing the risk out of your electronic communications.
Reporting and Analytics
A key challenge for financial services industry professionals is illuminating potential risks hidden within their electronic communications data across all the channels they use. Smarsh archiving solutions illuminate potential risks hidden within your archived data. Customizable policies detect when certain key words or phrases are used and combine with analytics tools, dashboards and reporting to enable you to not just see risk, but to respond to it immediately.
Valuable solutions for all types of financial services organizations
Broker-Dealers
FINRA firms of all sizes rely on Smarsh to help them comply with SEC record-keeping rules, FINRA Communications Rules, supervision guidelines and more.
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Investment Advisors
Smarsh helps investment advisers, hedge funds, private equity, venture capital and other firms comply with SEC and CFTC regulations for electronic communications.
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Futures and Transfer Agents
Firms registered with the NFA, the derivatives industry’s self-regulatory organization, use Smarsh to help meet NFA, CFTC and SEC recordkeeping and oversight obligations.
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Lending Compliance
Smarsh helps lenders of all stripes capture and retain content, comply with FFIEC guidance, and monitor for compliance with Fair Lending Laws, the Truth in Lending Act, and FTC rules.
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Investment Dealers (Canada)
IROC member firms rely on Smarsh to meet the recordkeeping and supervision responsibilities mandated in IIROC Rule 29.7, IIROC Notice 11–0349 and National Instrument 31–103.
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MiFID II Regulated Firms
Smarsh helps organizations covered by MiFID II stay ahead of evolving retention and supervision requirements for email, social media, instant messaging, web content and more.
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Stay up to date with the latest resources
Archiving and Monitoring For Compliance
Take 25 minutes and see what a modern solution for archiving and compliance looks like.
Read Robert Cruz's analysis about how a younger workforce is driving a mobile compliance gap: #compliance… https://t.co/alSzUzu6cY
Recent disciplinary actions by FINRA highlight the necessity for brokerages to focus on the importance of following… https://t.co/q4gVYO6U7Q
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