Maximize the benefits of AI tools while complying with SEC and FINRA mandates. Watch webinar on-demand

Financial Services

Preserve and monitor communications for compliance, risk mitigation and business insights

Give your business the power to communicate, compliantly

The workplace has moved from downtown to digital, driving reliance on new tools for business communication. This shift is creating cross-channel conversational streams and multitudes of data, making retention and oversight initiatives more complex for regulated financial services organizations. Smarsh solutions are the answer. We enable you to preserve and monitor communications for compliance, risk mitigation and business insight.

Modern compliance & risk solutions for the financial services industry

For wealth and asset management firms of all types and sizes:

Communicate with clients on the latest channels and confidently satisfy SEC, FINRA and other regulatory requirements.

Asset management
Broker-dealers and brokerage firms
Clearing firms
Commodities traders
Credit rating agencies
Custodians
Dual BD and RIA firms
Hedge funds
Individual financial advisors
Mutual funds
Private equity firms
Registered investment advisors (RIA)
Venture capital firms

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For banks of all types and sizes:

Banks the world over use our retention and oversight solutions to support multiple lines of defense, including risk, surveillance, and audit, with one trusted cloud provider.

Commercial banks
Credit unions
Global banks
Investment banks
Retail banks
U.S. regional banks
U.S. community banks

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For insurance firms of all types and sizes:

Insurance companies rely on Smarsh to help them meet compliance and e-discovery requirements, accelerate the shift to the cloud, and mitigate communications risk.

Casualty insurance firms
Health insurance firms
Life insurance firms
Property insurance firms

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Stay compliant, protected and productive

Benefits

Features

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 & 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. Our Vendor 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.

Manage data protection & privacy

Confidently satisfy international and regional data regulations and laws including MiFID II, GDPR and CCPA. Smarsh archiving solutions are designed for data privacy by default, allowing you to handle right of access requirements, processing limitations, data retention specifications, and more.