Smarsh solutions for SEC regulated firms

Implement and enforce effective electronic communications
recordkeeping and oversight policies for compliance with SEC regulations.

 

Read the Guide Recordkeeping Requirements: United States SEC & FINRA vs European Union MiFID II

More firms trust Smarsh than any other provider

Smarsh helps registered firms, including investment advisers, hedge funds, private equity firms, and venture capital firms implement and enforce electronic communications recordkeeping and oversight policies for compliance with SEC and CFTC regulations.

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.
Broker Dealers

Investment Advisors

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 SEC 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.

Integration with Work Phone Copy 6

Third party downloader

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

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.

send-content-to-an-external-archive

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.

Other products that may be of interest to you

discovery-logo

Discovery TM

For proactive collection, preservation and
review of all your electronic communications.

discovery-product-banner
control-logo

Control TM

For real-time moderation,
pre-review and alerting.

LEARN MORE

control-placement-small
connected arcive icon

Connected Archive TM

The market-leading cloud archive.

LEARN MORE

connected-archive-placement

Stay up to date with the latest resources

Archiving and Monitoring For Compliance

Take 25 minutes and see what a modern solution for archiving and compliance looks like.

big ben purple blue gradient 1
The Compliance Challenges of the Millennial Work-Life Balance
Read more
resource placeholder
‘Tis the Season to Archive Everything
Read more
office_green_blue_gradient
Smarsh Partner Perspectives Video Series (Part 1 of 3): Technology Trends & Drivers
Read more

Ready to enable compliant productivity?

Join the 6,500+ customers using Smarsh to drive their business forward.

Get a Quote

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.

Contact Us

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.