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

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Global regulatory compliance

Satisfy global regulatory obligations from the SEC, FINRA, FCA, IIROC and other applicable bodies.
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AI-powered supervision

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

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

Be prepared in your times of maximum need — regulatory exams, audits, litigation, or investigations.
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Data protection & privacy

Satisfy international & regional regulations and laws including MiFID II, GDPR and CCPA.
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Value-added services

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

Stay compliant, protected and productive



Capture all communications

Capture data from over 100 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. Our 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. The Smarsh 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



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

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



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

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