Ease the Burden of Compliance Governance and Archiving on Operations
Complying with the regulatory requirements set by the SEC, FINRA, and other regulatory bodies is not just a best practice for financial firms; it’s essential. Digital communications compliance is a critical component of conducting business, safeguarding firms and their employees, and maintaining the overall integrity of the financial industry. To achieve compliance, firms need a reliable data archiving solution that can effectively manage large volumes of data generated by the growing number of communication channels used by employees and clients.
Some Smarsh competitors attempt to cast a wide net to capture and archive necessary communications data but fail to monitor all business communications across all channels, as their compliance policies require. If your communications data archive cannot ensure that all relevant messages are captured and archived, your firm risks heavy fines and potential damage to its reputation. Capturing only a fraction of the data generated by employees and clients is insufficient to meet your firm’s regulatory obligations.
Why it matters
As communication channels expand and features evolve, regulatory expectations remain steadfast. The SEC's enforcement results for fiscal year 2024 hit over $8.2 billion in fines and other financial sanctions imposed on firms that failed to meet their compliance obligations to retain and supervise digital communications.
Newsworthy regulatory violations aside, the core remains: financial services firms must maintain proper books and records for supervision and oversight. Are you confident your current archiving capabilities can manage it all?
One-stop platform for your archive of everything
Have you outgrown your current archiving strategy? You need more than basic data capture and archiving solutions to achieve optimized governance and effective archiving. You need a dedicated partner with the expertise and capabilities to address your communication compliance needs.
That’s where Smarsh comes in. Unlike our competitors, who often outsource data archiving to third-party providers, leading to added costs, reduced data control, and diminished accountability, Smarsh customers always retain full ownership and oversight of their data.
One clear advantage stands out as we navigate the increasing complexities of communication archiving and data governance requirements: the Smarsh archive platform is purpose-built to meet the compliance demands of modern financial services environments. Our purpose is not about amassing, storing, and selling data. We focus on increasing the efficiency of your communications archiving and oversight processes while ensuring adherence to all relevant regulations.
Positively disruptive archiving just got easier
For Smarsh customers, compliance is easier thanks to an archiving platform that includes advanced capture, supervision, discovery, and export, all easily accessible from a centralized dashboard. And compliance teams benefit from best-in-class support when they need it most.
In addition to a range of learning and self-help resources, we lend a hand as an extension of your compliance support team.
You may be thinking, "What sets Smarsh apart?"
For over two decades, Smarsh archiving and governance software have set the standard for digital communications compliance and risk management in regulated industries. Our experience enables us to spot regulatory and technological trends and help firms ensure their compliance strategy and workflows are prepared and equipped to meet today’s challenges and whatever comes next with:
- Easy capture of all communications, including IM and collaboration, social media, texts and encrypted messages, emails, and voice, with data stored in its native format
- Full life cycle capabilities, with more effective coverage of more communication channels than our competitors
- Scalable data storage, with add-on features and functionality available as your business grows
It’s time to simplify and streamline your communications archiving and governance so your organization can focus on your core objectives and future growth.
Watch it work to explore the benefits of switching to Professional Archive.
Smarsh is honored to be named a Leader in the 2025 Gartner® Magic Quadrant™ for Digital Communications Governance and Archiving Solutions.
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Scalable for organizations of all sizes, the Smarsh platform provides customers with compliance built on confidence. It enables them to strategically future-proof as new communication channels are adopted, and to realize more insight and value from the data in their archive. Customers strengthen their compliance and e-discovery initiatives and benefit from the productive use of email, social media, mobile/text messaging, instant messaging and collaboration, web, and voice channels.
Smarsh serves a global client base that spans the top banks in North America and Europe, along with leading brokerage firms, insurers, and registered investment advisors. Smarsh also enables state and local government agencies to meet their public records and e-discovery requirements. For more information, visit www.smarsh.com.
- RIA Compliance Requirements: Navigating Ongoing Regulatory Obligations - March 24, 2025
- California Public Records Act: What You Need to Know - March 17, 2025
- 3 Unexpected Benefits of a Communications Archive - March 13, 2025
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