Smarsh solutions for Futures and Transfer Agents

Implement and enforce effective electronic communications
recordkeeping and oversight policies. While both FINRA/SEC and MiFID II rules aim to reduce fraud and malfeasance in the financial industry, they often have different ways to reach these goals.

Read Post: Top flagged terms likely to suggest corporate fraud

More firms trust Smarsh than any other provider

Smarsh helps firms registered with the NFA, the derivatives industry’s self-regulatory organization, meet NFA, CFTC and SEC recordkeeping and oversight obligations.

Records and Compliance Managers

Records and Compliance Managers

Have all content accessible in one place so you can respond to regulatory requests both quickly and easily, as well as conduct internal investigations and audits.
Capturing communications in a compliant way

Futures & Transfer Agents

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 costs 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

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

Supervisors

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

Benefits

Benefits for firms of all sizes

Regulatory compliance

Regulatory compliance

Preserve and store data on tamper-proof media to meet SEC rule 17a-4 and other FINRA rules.

Exam tested

Exam tested

Be prepared for regulatory examinations or requests with on-demand data protection.

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.

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Administration and migration

Whether you’re a 1-person firm or have 1000s of branches, it’s easy to manage users and to migrate data.

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Tell us about yourself, and we’ll be in touch right away.

Smarsh handles information you submit to Smarsh in accordance with its Privacy Policy. By clicking "submit", you consent to Smarsh processing your information and storing it in accordance with the Privacy Policy and agree to receive communications from Smarsh and its third-party partners regarding products and services that may be of interest to you. You may withdraw your consent at any time by emailing privacy@smarsh.com.