Agentic AI Compliance for Financial Advisers
Agentic AI workflows help registered investment advisers and independent financial advisers build compliant advisory practices and exceptional client experiences. Capture communications across all channels, detect suitability and conduct risks, and maintain audit-ready records — supporting SEC, FINRA, FCA, MiFID II, and global regulations.
Advisory Compliance Without the Complexity
Your clients should be your focus — not spending hours on manual compliance work. Our all-in-one agentic platform ensures advisory firms can capture, archive, and monitor communications compliantly, whether you're a solo adviser or managing a multi-location practice. Reduce manual work, integrate AI into your workflows, surface real risks faster, and stay compliant and audit-ready — across the US and EMEA.
All-in-one Compliance and Data Intelligence for Your Entire Organization
Leave behind the point solutions with a platform that scales seamlessly — from one person juggling multiple roles to a growing advisory team that needs fast, seamless onboarding. Support RIAs, IFAs, wealth managers, and independent financial advisers with unified communications oversight.
Investment Advisers (RIAs & IFAs)
Connect and engage with clients on their preferred channels — email, mobile, instant messaging, video calls, and more — compliantly and without worry. Operate globally with multi-jurisdictional compliance support.
Compliance and Records Managers
Gain confidence in your communications oversight with faster response to regulatory requests, easier internal investigations, and streamlined records management. Support SEC, FINRA, FCA, and MiFID II reporting requirements.
Supervision Reviewers
Act faster and with greater precision to reduce false positives and surface real risks with AI-assisted review, intuitive dashboards, and customizable policies. Detect suitability breaches, conflicts of interest, and unsuitable recommendations automatically.
Attorneys, Clerks, and Legal Staff
Cut discovery time and cost with defensible workflows, instant legal holds, and self-service exports for audits, investigations, or litigation across multiple jurisdictions.
CTOs, CIOs, and IT Staff
Establish a single source of truth by archiving communications data in a tamper-proof, WORM-compliant archive that scales globally and integrates with your technology ecosystem.
Compliance and Oversight Leadership
Gain real-time visibility into compliance status, supervisory procedures, and regulatory risk across the firm. Streamline regulatory exams and demonstrate control effectiveness to regulators worldwide.
Compliance Solutions for All Types of Investment Advisers
Registered Investment Advisor (RIA) | Individual Financial Advisor (IFA)| Wealth Manager | Multi-Family Office | Fee-Based Adviser | Fiduciary Adviser
Scalable Compliance Technology For Investment Firms Of All Sizes
Adapt the platform to reflect your firm's size and structure. Get exactly what you need today, with the flexibility to expand seamlessly as your business grows — whether you operate in the US, EMEA, or globally.
AI-assisted Supervision
Your always-on compliance partner that intelligently flags potential risks, detects market abuse patterns, and streamlines manual review across multiple jurisdictions.
Always Audit-Ready
Show proof of supervisory procedures with a complete audit trail of every action taken in the platform. Meet FINRA, SEC, FCA, and MiFID II audit requirements.
Secure Compliance
Preserve data on tamper-proof media to satisfy SEC, FINRA, FCA, and MiFID II storage and retention rules.
Exam-Tested Production
Be prepared for FINRA, SEC, FCA, and other regulatory examinations with on-demand data production. Produce and deliver records without delay with self-service exports.
Fast, Simple Search
Find what you're looking for quickly and reliably across all your archived communications, whether conducting regulatory exams or internal investigations.
Easy Management
Manage users and migrate data effortlessly — whether you're a single-office firm, multi-office operation, or global enterprise spanning multiple jurisdictions.Confidently Satisfy Regulatory Obligations
SEC 17a-3
Requires investment firms to maintain timely, detailed records of all securities transactions.
SEC 17a-4
Requires regulated firms to retain, index, and securely store transaction records for set periods.
FINRA Rule 4511
Requires firms to create, preserve, and securely retain required records for at least six years.
FINRA Rule 3110
Requires firms to develop and enforce written procedures to supervise business activities, monitor communications, and ensure compliance with regulatory requirements.
MiFID II
Requires investment firms to record and retain all client communications, including telephone calls and electronic communications. Maintain audit trails of all transactions and orders.
FCA PROD
Requires product governance frameworks, suitability documentation, and communications oversight for fair treatment of customers.
FCA SUP
Requires firms to establish and maintain supervisory procedures with documented processes and audit-ready evidence of compliance.
ESMA Guidelines
Requires systems and controls for market abuse detection, insider trading prevention, and transaction recording across multiple channels.
UK FCA Communications Rules
Requires clear, fair, and non-misleading communications with customers, with retention of all communications in tamper-proof formats.
GDPR
Requires secure storage and processing of personal data with demonstrable compliance controls and the ability to respond to data subject requests.
Address all your compliance needs with one intuitive platform
Capture
Capture all communications
Capture communications data in their original format to preserve full context, including email, instant messaging, collaboration tools, social media, mobile, voice, AI, and web.
Archive
Store data, compliantly
Store all captured communications in a single, secure, WORM-compliant archive that’s indexable and built to support industry regulations and supervision.
Surveillance
Spot risk sooner, act faster
Give compliance teams greater speed, precision, and confidence by using AI to detect risks earlier, streamline supervision reviews and gain visibility into emerging issues.
Discovery
Simplify discovery and response
Respond quickly to audits, investigations, and litigation with streamlined access to all captured communications with advanced search, legal holds and easy data exports.
Cyber Compliance
Strengthen your cyber compliance posture
Stay ahead of evolving threats and meet regulatory expectations with confidence with real-time vulnerability detection and fast, effective reconciliations.
Why Smarsh?
Trusted by thousands of RIAs and independent advisory firms, Smarsh helps investment advisors like you stay compliant, responsive, and audit-ready without interrupting your workflow. Our flexible, secure platform captures communications across the tools you and your clients use most — while surfacing insights to mitigate risk and fuel innovation.