AI Intelligence for Wealth and Asset Management
Confidently meet communications retention and oversight requirements.
Your all-in-one AI platform to streamline compliance and reduce risk
The communications intelligence platform allows wealth and asset management professionals to engage with clients across digital channels while meeting regulatory demands with confidence. Our unified platform captures, retains, and monitors communications, streamlining oversight and reducing risk.
Compliance solutions for registered firms of all sizes and structure
Communicate with clients on the latest channels and confidently satisfy SEC, FINRA and other regulatory requirements.
Your partner for FINRA recordkeeping and SEC storage compliance
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-dealers
- Hedge funds
- Investment companies
- Mutual funds
- Pension funds
- Private equity firms
- REITs
- Swap dealers
- Venture capital firms
Flexible compliance for RIAs and wealth managers
Satisfy SEC and state requirements for retention, recordkeeping and supervision, whether you’re a solo advisor or part of a multi-office firm.
- Registered investment advisors (RIAs)
- Wealth management firms
- Individual financial advisors
Simplified workflows, no compromise required
Simple, efficient, and comprehensive compliance and risk management.
Global regulatory compliance
Confidently meet requirements from the SEC, FINRA, FCA, IIROC, and other regulators.
AI-assisted supervision
Increase the speed and effectiveness of your monitoring efforts with AI to surface data insights that become business opportunities.
Future-ready archiving
Seamlessly capture and archive communications from emerging channels as your clients and teams evolve.
Exam and audit readiness
Be prepared in your times of maximum need — regulatory exams, audits, litigation, or investigations.
Data protection and privacy
Enables you to meet international and regional data privacy and security regulations and laws, including GDPR, CCPA and MiFID II.
Expert support services
Lean on our compliance experts to augment your team and alleviate operational burdens.Stay compliant, protected and productive
Capture
Capture all communications
Email, instant messaging, collaboration, social media, mobile, voice, web — capture it all in original format, with full context so you are always audit-ready. Archived content is automatically indexed, enriched, and made searchable so you can confidently meet regulatory obligations.
Archive
Store data, compliantly
Retain captured content in the integrated Smarsh Archive or send it to your existing archive or data lake. The Smarsh Archive provides a range of deployment options and customizable retention policies to meet your specific business needs.
AI Insights
Simplify supervision and illuminate risk
Zero in on relevant areas of risk in your archived data with customizable, scalable supervision policies. Implement advanced multi-tier review queues, action panels, roles, reporting, escalation, and more to demonstrate evidence of supervision to regulators.
Discovery
Reduce discovery time
Streamline early case assessment and litigation response with a single, integrated platform that makes collecting, preserving, reviewing, and exporting content fast and efficient. Reduce risk, act faster, and decrease litigation costs.
Cyber Compliance
Strengthen cybersecurity posture
Gain visibility into your overall security posture across devices, networks, employees, and vendors. The Smarsh third-party risk management dashboard allows you to monitor vendor security compliance and satisfy regulatory and security requirements with confidence.
Why Smarsh?
Smarsh helps wealth and asset managers turn compliance into a competitive advantage. More than 6,500 organizations, including 90% of the world's top financial institutions, trust our platform.
Our secure, scalable infrastructure uses AI-powered insights to provide a complete view of all your communications. By seamlessly capturing data across every channel, we help you stay ahead of evolving regulations and client expectations with precision, speed, and peace of mind.
This means you can focus on growth, not risk.