Smarsh Is a Leading Solutions Provider to MiFID II and FCA Regulated Firms

We empower investment advisers operating in the U.K. to capture, search, retain, supervise and reconstruct electronic and voice communications relating to their business services, as required by MiFID II.

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

Smarsh helps organisations covered by MiFID II to stay ahead of the evolving retention and supervision requirements for email, voice, social media, instant messaging, web content and more. U.K. investment advisers 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 advisers of all sizes

Regulatory compliance

Regulatory compliance, including voice capture

Preserve and store data on tamper-proof media to meet FCA and MiFID II requirements.
Exam tested

Exam tested

Locate and retrieve electronic communications quickly and be prepared for regulatory examinations with on-demand data production.
Compliance workflow

Compliance workflow

Customise supervision policies and keyword lists and streamline compliance review workflow.

On-demand production and trade reconstruction

Securely export data for further legal or regulatory review. Reconstruct communications around a specific trade or event.
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.
Broker Dealers

Investment advisers

Capture all communications associated with your work in a MiFID II- and FCA-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

Centralise 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, customisable policies and queues. Track team-based review progress with user-friendly dashboards.

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