Smarsh Is a Leading Solutions Provider to IIROC Member Firms

We empower investment dealers operating in Canada to meet oversight obligations and to simplify social media and website monitoring.

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Smarsh helps IIROC member firms meet the recordkeeping and supervision responsibilities mandated in IIROC Rule 29.7, IIROC Notice 11–0349 and National Instrument 31–103.

Our solutions deliver benefits for investment dealers of all sizes

Regulatory compliance

Regulatory compliance

Preserve and store data on tamper-proof media to meet IIROC Rule 29.7, IIROC Notice 11–0349 and National Instrument 31–103.
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.
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.
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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 dealers

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, comprehensive solution for all your content.
Supervisors

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 dealers; our solutions ensure that you can meet your regulatory obligations

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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.

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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.