Financial Services

Embrace innovation, stay compliant and manage risk

Get the Guide: Roundup of 2020’s Most Impactful FINRA and SEC Violations and Penalties

As technology continues to evolve, the financial services industry is faced with increasingly challenging records retention and oversight requirements. For over 20 years, Smarsh has been a key partner in helping organizations overcome these challenges. We enable our customers to manage the communications compliance process more quickly and effectively.

Our solutions empower financial services organizations to adopt the most innovative communications channels while meeting content retention and oversight obligations. We have helped over 6,500 customers embrace innovation, including broker-dealers, investment advisers, hedge funds, private equity firms, exchanges, commercial and retail banks, lenders and insurance agents.

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Key financial services challenges


Our Solutions

Comprehensive capture


Smarsh enables you to capture data from over 80 communication channels. This includes the most widely used email, instant messaging/collaboration, social media, mobile, voice and web platforms.

Content is captured in its native, unaltered format with its original conversational context intact. Once archived, content is automatically indexed and made searchable. This ensures that you are able to confidently meet regulatory obligations from FINRA, SEC, IIROC, FCA, GDPR and MiFID II.

Compliant storage & retention

Once captured, all content can be retained seamlessly in the integrated Smarsh archive – our immutable and context-aware data store.

Alternatively, content can be sent to any existing archive, application or data lake.

Smarsh archive solutions provide you with a range of deployment options as well as customizable retention periods to meet your specific business needs.

Advanced search & export

Financial services organizations face complex and constantly evolving regulatory compliance requirements. This means that producing specific data for regulatory audits and examinations needs to be swift, easy and thorough.

Smarsh archiving solutions have advanced search capabilities that allow you to zero in on what you're looking for in your archived data. Content can then be packaged and produced on-demand. Our 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.

Streamlined discovery

Preparing for litigation, early-case assessment and investigations is a recurrent challenge for financial services organizations. Our streamlined e-discovery solution makes collecting, preserving, reviewing and exporting content across all communications channels fast and efficient. This enables you to reduce risk as well as litigation costs.

Sophisticated supervision

A key challenge facing financial services industry professionals is identifying potential risk across all business-related electronic communications. Without the right supervision tools, manual reviews of messages across multiple channels waste considerable time and resources.

Smarsh archiving solutions highlight potential risks hidden within archived data. Customizable and sophisticated supervision policies help you zero in on the areas of risk that are most relevant to your business. Implement advanced multi-tier review queues, action panels, roles, reporting, escalation and many more functions. These ensure the efficient management of risk across all communications channels, as well as the ability to demonstrate evidence of supervision to regulators. Combined with analytics tools, dashboards and reporting capabilities, Smarsh enables you to not just see risk, but to stay ahead of it.

Unify from Entreda

The Unify platform from Entreda enables organizations to monitor and address their cybersecurity risk posture across multiple threat vectors. Its unified, easy-to-use dashboard provides insight into organizations’ vulnerabilities across devices, networks, users and vendors, and helps customers mitigate risk and strengthen areas of need.

Designed to address the National Institute of Standards and Technology (NIST) Cybersecurity Framework, Unify has compliance features and reporting that organizations need to fully satisfy their regulatory and security requirements.

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