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.
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.
Meet regulatory obligations
We understand the complex compiance needs of regulared firms like yours
CFTC Regulations 1.18, 1.32 through 1.37, 1.68, and 1.71
for the period required under CFTC Regulation 1.31.
Benefits for firms of all sizes
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Archiving and Monitoring For Compliance
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