More SEC Regulated Firms Trust Smarsh Than Any Other Provider

We empower investment advisors to implement and enforce effective electronic communications recordkeeping and oversight policies for compliance with SEC regulations.

Get the Guide: Top 10 FINRA & SEC Violations and Penalties

Smarsh has over 20 years of experience in partnering with registered firms, including investment advisors, hedge funds, private equity firms and venture capital firms. Our solutions enable these companies to implement and enforce electronic communications recordkeeping and oversight policies for compliance with SEC and CFTC regulations. Investment advisors trust our deep understanding of the compliance challenges they face and our proven ability to help them meet their regulatory obligations.

Our solutions deliver benefits for investment advisors 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.
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.
Exam tested

Exam tested

Be prepared for regulatory examinations or requests with on-demand data production.
Integration with Work Phone Copy 6

Third-party downloader

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

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.
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 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.

Meet regulatory obligations

We understand the complex compliance challenges facing investment advisors; our solutions ensure that you can meet your regulatory obligations

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