GUIDE

Compliance Made Easy for RIAs and Broker-Dealers

How to make your compliance management easier, more efficient, and more reliable with Smarsh

Remaining compliant with recordkeeping obligations set forth by FINRA and the SEC can be difficult, tiresome and sometimes overwhelming. Compliance officers and their organizations need an archiving solution that meets modern demands — and that’s where Smarsh Professional Archive comes in.

In this guide, you’ll learn how the Smarsh Professional Archive helps you:

• Find and review the archive data you care about up to 3x faster with straightforward dashboards
• Demonstrate regulatory compliance by capturing internal and external data across all approved channels
• Prepare for audits or legal cases with fast and easy data exports
• Manage reviews and regulated employees effortlessly

Get this guide to learn how to experience easy compliance with Smarsh Professional Archive.