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