Wealth & Asset Management

Confidently meet communications retention and oversight requirements

One cloud solution, complete communications compliance

Wealth and asset management professionals must be able to communicate and collaborate through the channels that drive their business forward. This requires a set of purpose-built solutions for preserving and monitoring digital communications. Serving nine of the 10 largest wealth management firms in the world, Smarsh has over 20 years of experience helping firms meet their regulatory retention, oversight and supervisory obligations.

Solutions for registered firms of all sizes and structures

For brokerage firms of all types and sizes:

Enable your firm to confidently satisfy FINRA recordkeeping and supervisory obligations and SEC storage requirements. The leading choice among registered firms that market and sell securities.

  • Broker-dealer
  • Hedge fund
  • Investment company
  • Mutual fund
  • Pension fund
  • Private equity
  • REIT
  • Swap dealer
  • Venture capital

For registered firms of all types and sizes:

Confidently satisfy SEC and state retention, recordkeeping and supervisory requirements. The standout solution for investment advisories of all sizes and structures.

  • Registered investment advisor
  • Wealth management
  • Individual financial advisor

The one-stop-shop for wealth and asset management

Simple, efficient and comprehensive compliance and risk management

Global compliance gradient

Global regulatory compliance

Satisfy global regulatory obligations from the SEC, FINRA, FCA, IIROC and other applicable bodies.
Manage eDiscovery active gradient

AI-powered supervision

Increase the speed and effectiveness of your monitoring efforts and extract more insight from your data.
future proof compliance gradient

Future-proof compliance

Extend your archive across the latest channels as your business and the needs of your advisory teams and customers evolve.
Exam tested gradient

Exam readiness

Be prepared in your times of maximum need — regulatory exams, audits, litigation, or investigations.
BYOD gradient

Data protection & privacy

Satisfy international & regional regulations and laws including MiFID II, GDPR and CCPA.
Profile enablement gradient

Value-added services

Offload operational burden from compliance teams with the help of our professional services experts.

Stay compliant, protected and productive

Benefits

Features

Capture all communications

Capture data from over 80 communication channels, including email, instant messaging/collaboration, social media, mobile, voice and web platforms. Digital communications content is captured in its native, unaltered format with original conversational context intact. Once archived, content is automatically indexed and made searchable through a single pane of glass to ensure you can confidently meet regulatory obligations.

Store data, compliantly

Once captured, all content can be retained seamlessly in the integrated Smarsh archive – our immutable and context-aware data store. Alternatively, content can be sent to any existing archive, application or data lake. Smarsh archiving solutions provide you with a range of deployment options as well as customizable retention periods to meet your specific business needs.

Find what you need, fast

When you’re producing specific data for regulatory audits and examinations, it needs to be swift, easy and thorough. Smarsh archiving solutions have advanced search capabilities that enable you to zero in on what you're looking for in your archived data. Content can then be packaged and produced on-demand. Multiple export formats are supported, enabling you to extract relevant data and send it to regulators or outside counsel in the format they require.

Save e-discovery time

Is the preparation for litigation, early-case assessment and investigations a recurrent challenge for your organization? Our streamlined e-discovery solutions make collecting, preserving, reviewing and exporting content across all communications channels fast and efficient. This enables you to reduce risk and litigation costs.

Simplify supervision and illuminate risk

Zero in on the most relevant areas of risk in your archived data with customizable and sophisticated supervision policies. Implement advanced multi-tier review queues, action panels, roles, reporting, escalation and many more functions to demonstrate evidence of supervision to regulators.

Strengthen cybersecurity posture

Monitor and address your cybersecurity risk posture across multiple threat vectors. Entreda Unify’s easy-to-use dashboard provides insight into your organization’s vulnerabilities — across devices, networks, users and vendors — and helps you mitigate risk and strengthen areas of need. Privva’s third-party risk management platform allows you to confidently select vendors that have comprehensive security and privacy policies in place. Compliance features and reporting help financial services organizations like yours satisfy regulatory and security requirements.

More than 6,500 customers worldwide trust Smarsh to protect their data

Security

Security

Every Smarsh customer benefits from our top-tier data centers and security offerings

Privacy icon

Privacy

We comply with global privacy and data protection regulations to give you peace of mind

Automatic-indexing

Compliance

Stay compliant while enabling your employees to use the latest communications channels

Other products that may be of interest to you

Capture and manage content from over 80+ of the latest channels, right from the source, with full context preserved

Reduce the time, cost and effort of e-discovery for investigation and litigation

Protect your organization with this unified cybersecurity and compliance platform

Stay up to date with the latest resources

Archiving and Monitoring For Compliance

Take 25 minutes and see what a modern solution for archiving and compliance looks like.

Get a Quote

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.

Contact Us

Tell us about yourself, and we’ll be in touch right away.