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.
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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
Preserve and store data on tamper-proof media to meet SEC rule 17a-4 and other FINRA rules.
Compliance workflow
Customize supervision policies and keyword lists and streamline compliance review workflow.
Audit trail for compliance
Show proof of supervisory procedures through a detailed audit history of every action taken in the platform.
Exam tested
Be prepared for regulatory examinations or requests with on-demand data production.
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
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.
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 cost 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
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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