Smarsh Is a Leading Solutions Provider to MiFID II and FCA Regulated Firms
We empower investment advisers operating in the U.K. to capture, search, retain, supervise and reconstruct electronic and voice communications relating to their business services, as required by MiFID II.
Get the Guide: Recordkeeping Requirements - United States SEC & FINRA vs European Union MiFID II
Smarsh helps organisations covered by MiFID II to stay ahead of the evolving retention and supervision requirements for email, voice, social media, instant messaging, web content and more. U.K. investment advisers trust our deep understanding of the compliance challenges they face and our proven ability to help them meet their regulatory obligations.
Our solutions deliver benefits for investment advisers of all sizes
Regulatory compliance, including voice capture
Preserve and store data on tamper-proof media to meet FCA and MiFID II requirements.
Exam tested
Locate and retrieve electronic communications quickly and be prepared for regulatory examinations with on-demand data production.
Compliance workflow
Customise supervision policies and keyword lists and streamline compliance review workflow.
On-demand production and trade reconstruction
Securely export data for further legal or regulatory review. Reconstruct communications around a specific trade or event.
Audit trail for compliance
Show proof of supervisory procedures through a detailed audit history of every action taken in the platform.
Administration and migration
Whether you’re a one-person firm or have thousands of branches, it’s easy to manage users and migrate data.Whatever your role, Smarsh can make your job easier
Records and compliance managers
Have all your content accessible in one place so you can respond to regulatory requests quickly and easily, as well as conduct internal investigations and audits.
Investment advisers
Capture all communications associated with your work in a MiFID II- and FCA-compliant, search-ready way. Communicate using the channels you want without worrying about the risks of non-compliance.
Attorneys, clerks & legal staff
Reduce the time and cost associated with e-discovery, activate legal holds and efficiently produce content for audits, investigations or litigation without relying on manual processes.
CTOs, CIOs & IT staff
Centralise archived communications in a single tamper-proof, WORM-compliant, comprehensive solution for all your content.
Supervision reviewers
Supervise all communications effectively and efficiently using automated message monitoring and review, customisable policies and queues. Track team-based review progress with user-friendly dashboards.Meet regulatory obligations
We understand the complex compliance challenges facing investment advisers; our solutions ensure that you can meet your regulatory obligations
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