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
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.
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
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.
CTOs, CIOs & IT Staff
Centralise archived communications in a single, tamper-proof, WORM-compliant, comprehensive solution for all your content.
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.
Meet regulatory obligations
We understand the complex compiance needs of regulared firms like yours
Benefits
Benefits for SEC firms of all sizes
Regulatory compliance
Preserve and store data on tamper-proof media to meet SEC rule 17a-4 and other FINRA rules.
Exam tested
Be prepared for regulatory examinations or requests with on-demand data protection.
Compliance workflow
Customize supervision policies and keyword lists and streamline compliance review workflow.
Third party downloader
Smarsh is an industry-recognized third-party downloader to satisfy SEC rule 17-a-4.
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 1-person firm or have 1000s of branches, it’s easy to manage users and to migrate data.
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