Futures and Transfer Agents Trust Us to Solve Their Most Pressing Communications Compliance Challenges

We empower futures and transfer agents to implement and enforce effective electronic communications recordkeeping and oversight policies.

Smarsh enables NFA-registered companies to satisfy NFA, CFTC and SEC recordkeeping and oversight obligations. Futures and transfer agents trust our deep understanding of the compliance challenges they face and our proven ability to help them meet these obligations.

Our solutions deliver benefits for futures and transfer agents 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 production.
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.

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.
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 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.

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