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TECHNOLOGY PROVIDERS Compliance
SMARSH
Professional Archive
In 1Q 2023, Smarsh introduced enhancements to its Professional Archive platform. The next-generation platform enables RIAs and broker-dealers to streamline digital communications data compliance processes and have greater visibility into their data through four flexible, easy-to-use dashboards at no additional cost. Enhancements were made to the preexisting Archive and Reviewer Activity Dashboards, while the Policy and Queue Dashboards are entirely new offerings. Now, users can automatically find and review digital communications data they care
about most – up to 3x faster – with customized alerts and filtering; have reports sent directly to their inbox, allowing users to immediately find issues before logging in for deeper analysis; and respond to management requests, so they are confident the firm fulfills compliance obligations on an ongoing basis.
Smarsh enables companies to transform oversight into foresight by surfacing business-critical signals in more than 100 digital communications channels. Regulated organizations of all sizes rely upon the Smarsh portfolio of cloud-native digital communications capture, retention, and oversight solutions to help them identify regulatory and reputational risks within their communications data before those risks become fines or headlines. Smarsh serves a global client base spanning the top banks in North America, Europe, and Asia, along with leading brokerage firms, insurers, and registered investment advisors and U.S. state and local government agencies.
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199 WealthManagement.com
*NOTE: Company descriptions are effective as of the date of nomination submission (February – May 2023). For updated facts and figures since that timeframe, please contact the nominated company.
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