Banks Trust Us to Solve Their Most Pressing Communications Compliance Challenges

We empower banks to implement and enforce effective electronic communications recordkeeping, storage and supervision policies to meet increasingly complex regulatory requirements.

Get the Guide: Managing Global Compliance: What to Do About IM and Collaboration Platforms in the Enterprise

Smarsh partners with the world’s leading retail, private and wealth management banks. Our solutions ensure that our customers can seamlessly meet FINRA 3110, SEC 204.2, SEC 17a-4, IIROC 10.12 and MiFID II requirements. Banks of all sizes trust our deep understanding of the global regulatory landscape and our ability to help them meet their most pressing compliance challenges.

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Our solutions deliver benefits for banks of all sizes

Regulatory compliance

Regulatory compliance

Preserve and store data on tamper-proof media to meet SEC, FINRA, IIROC and MiFID II requirements.
Compliance workflow

Compliance workflow

Customize supervision policies and keyword lists and streamline compliance review workflow.
Audit trail for compliance

Audit trail for compliance

Show proof of supervisory procedures through a detailed audit history of every action taken in the platform.
Exam tested

Exam tested

Be prepared for regulatory examinations or requests with on-demand data production.
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Third-party downloader

Smarsh is an industry-recognized third-party downloader to satisfy SEC rule 17-a-4.

Administration and migration

Whether you’re a one-person firm or have thousands of branches, it’s easy to manage users and migrate data.

Whatever your role, Smarsh can make your job easier

Records and Compliance Managers

Records and compliance managers

Have all your content accessible in one place so you can respond to regulatory requests quickly and easily, as well as conduct internal investigations and audits.
Broker Dealers


Capture all communications associated with your work in a compliant, search-ready way. Communicate using the channels you want without worrying about the risks of non-compliance.
Attorneys, Clerks & Legal Staff

Attorneys, clerks & legal staff

Reduce the time and cost associated with e-discovery, activate legal holds and efficiently produce content for audits, investigations or litigation without relying on manual processes.
Personas and Identity Management

CTOs, CIOs & IT staff

Centralize archived communications in a single tamper-proof, WORM-compliant, comprehensive solution for all your content.

Supervision reviewers

Supervise all communications effectively and efficiently using automated message monitoring and review, customizable policies and queues. Track team-based review progress with user-friendly dashboards.

Meet regulatory obligations

We understand the complex compliance challenges facing all banks. Our solutions ensure that you can meet your regulatory obligations

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Capture solutions across 80+
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Archiving and Monitoring For Compliance

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