Move Faster With Claude While Keeping Compliance in View
Claude Enterprise Chat and Cowork gives advisory teams more time to focus on clients. As AI becomes part of everyday work, Smarsh helps firms bring captured Claude records into the retention, supervision, and investigation workflows they already use.
Trusted at global scale by regulated teams
Connect AI work to your governance and compliance framework
Claude can bring approved custodial, portfolio, CRM, planning, estate, research, documents, and meeting-intelligence resources into everyday adviser workflows. Smarsh brings available Claude activity into Professional Archive, so firms can govern AI-assisted work alongside the communications and oversight processes already in place.
Claude for advisers, broker-dealers, and funds
Smarsh helps financial firms bring available AI activity into their existing recordkeeping and oversight processes.
Registered investment advisers
Help advisers prepare for client meetings, review portfolios and plans, and manage follow-up. Bring available Claude interactions into Professional Archive alongside adviser-client communications to support retention, supervision, and investigation.
Broker-dealers
Support representatives and supervisory teams using Claude for research, client preparation, and internal workflows. Preserve available Claude activity alongside communications already subject to review.
Private funds
Support investment research, due diligence, portfolio monitoring, and investor communications. Retain available Claude activity and preserve records for review, legal hold, and investigations.
Financial institutions and growing firms
Extend approved Claude use across client service, risk, operations, compliance, and marketing as adoption grows.
Bring Claude into your governance and compliance workflows
Your firm should not need a separate archive, review process, or investigation path for Claude. Smarsh Capture brings available Claude Enterprise Chat and Cowork records into Professional Archive, extending the processes your teams already use.
Work with Claude
Employees use Claude Enterprise Chat and Cowork across approved adviser and business workflows, from research and analysis to internal collaboration, client communications, and business action.
Capture the record
Bring available Claude interaction content, context, files, projects, and activity records into Professional Archive.
Connect the context
Smarsh connects available Claude activity with related captured communications, helping reviewers see how work developed and what followed.
Email · Microsoft Teams · Mobile messaging · Voice · Web · Other captured channels
Govern and investigate
Professional Archive supports retention, search, supervision, investigation, legal hold, discovery, and regulatory response. Reviewers can assess potential concerns using available Claude records and related business communications, with content, context, activity, and supporting evidence across captured channels in view.
Apply governance to the way all your teams work
Not every use of Claude carries the same requirements. Set policies based on who is using AI, the information involved, the tools they access, and what happens next.
Roles
Define appropriate uses for advisers, operations, compliance, IT, HR, and marketing.
Data and tools
Establish approved data sources, connectors, permissions, and access practices.
Workflows
Set review and validation requirements for client communications, recommendations, CRM updates, and other higher-risk actions.
Exceptions
Use the policies you set up in Professional Archive to surface potential exceptions and violations for human review and investigation. Keep human judgment and review central to recommendations, client communications, and other higher-risk actions.
Scale AI governance across your firm
Beyond advisory teams, Operations, IT, HR, Marketing, and Compliance can tailor policies to account servicing, knowledge retrieval, employee communications, content development, and compliance review.
Department
IT
Claude workflow example
Troubleshooting, knowledge retrieval, vendor reviews, and internal support
Policy governance value
Help identify potential departures from approved AI-use, data-handling, and access policies
Marketing
Claude workflow example
Campaign planning, research, content drafting, and messaging review
Policy governance value
Surface work that may need brand, legal, or compliance review before external use
HR
Claude workflow example
Policy guidance, employee communications, manager preparation, and workforce planning
Policy governance value
Support appropriate review of sensitive employee information and policy-related communications
Operations
Claude workflow example
Procedures, incident follow-up, vendor coordination, and planning
Policy governance value
Preserve decision context and help investigate exceptions to operating and records policies
The State of AI adoption in Financial Services
Explore what’s driving AI adoption, what’s holding firms back, and how governance supports successful deployment in our industry survey report.
Move forward with governed AI adoption
Use Claude Enterprise and Cowork across approved workflows while maintaining essential oversight. Smarsh connects available Claude activity to the communications lifecycle, giving teams the context and evidence to supervise AI use and investigate concerns.
FAQ
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Claude for Financial Advisors connects Claude with approved custodial, portfolio, CRM, planning, research, document, and other financial-services resources to support meeting preparation, portfolio analysis, follow-up, and other advisor workflows.
Firms can establish policies based on users, approved data and tools, workflows, review requirements, and escalation paths. Smarsh supports those policies by bringing available Claude interaction records into established retention, supervision, and investigation processes.
Smarsh Capture brings available Claude interaction records into Professional Archive for retention, search, supervision, investigation, legal hold, discovery, and regulatory response. Capture availability depends on the records made available through the supported integration.
No. Smarsh governs available Claude interaction records captured through the supported integration. It does not automatically capture or store the raw underlying content of every external system Claude can access.
Applicable obligations depend on the firm and how AI is used. Relevant considerations can include Investment Advisers Act Rule 204-2 for specified books and records, Rule 206(4)-7 for compliance policies and procedures, Regulation S-P for safeguarding customer information, and, for applicable FINRA member firms, existing FINRA supervisory and other obligations.
AI-assisted work can become part of a larger workflow involving internal collaboration, client communications, and subsequent business actions. Bringing available Claude activity into the broader communications governance environment gives reviewers more context for supervision and investigation.