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RIA in a Box
Electronic Communications Compliance for Investment Advisors
Sometimes the internet shares wisdom…
Sometimes it doesn’t…
Actual Status Updates
All I want is a little more than I’ll ever get. If the US defaults, will China repossess our
elected officials? Just thinking out loud here.
You’re only young once. If you act like a fool after that, you’re gonna need a new excuse.
I won’t rest until I find a cure for Insomnia. Dick Clark has died. We can no longer ring
in the new year… Well played, Mayans. Well played.
Easy to post content from anywhere using mobile devices
33% of Facebook posts according to HubSpot
350 million active users access Facebook through mobile devices according to LeadBolt
Computers & Personal Devices
Regulatory Compliance, E-Discovery & Records Retention Capture, Retain & Produce
SEC 17a-3, 17a-4, 204-2
FINRA 3010, 3012, 3110, 3130B, 8210
FINRA Reg. Notices 07-59, 10-06, 10-59, 11-39
Suitability, Advertising & Surveillance Supervise/govern
FINRA 3010, 3110, 3130B
Data Protection Email Encryption/Data-Leak Prevention
46 state data protection/data-breach notification (MA, NV, CA)
Gramm Leach Bliley Act/Regulation S-P
“Increasingly there’s going to be a look at technology… and how technology supports
everything from policy governance to risk assessment to training. If the business is spending a lot on
technology to make money and drive the business and not spending money on technology to facilitate
risk and compliance and control, there’s a disequilibrium there.”
~ Carlo do Florio, SEC Director of Compliance
Electronic Communications Need to be Archived. Compliance & Risk Legal Human
Resources/Administration Marketing/Advertising Distribution IT
The Bottom Line…
Findings from the Smarsh 2013 Electronic Communications Compliance Survey indicates that respondents who allow and govern social media use are nearly twice as confident in their ability to provide specifically requested messages, within a reasonable time frame, for compliance purposes.
SMS Text EnterpriseSocial
networks
File sharing and synch platforms
(i.e. Dropbox)
Facebook LinkedIN Twitter IM
33%
23%
44%
28%
48%
21%
48%
32%
58%
44%
66%
29%
76%
30%
Allow Usage Prohibit Usage
ALLOW OR PROHIBIT:WHO IS MORE CONFIDENT?
Smarsh PlatformSophisticated tools for companies in regulated and litigious industries.
Comprehensive captureChatter posts, comments, shares, files, direct messages and profile updates are all captured in their original format which maintains all communication details, including who, when and where a message posted.
Real-time processingCapture all Chatter conversations the instant they happen, so information can’t be deleted.
Large file supportArchive files of any size uploaded to Salesforce.com.
ScaleDesigned and tested to scale to hundreds of thousands of users, the platform will allow you to grow your Chatter install base and increase adoption quickly.
Intelligent searchEnable faster and granular searching across your data by any number of variables, including user, group, post type, object or date and time.
Policy engineCreate policies based on nearly any criteria to automate reviews and message classification. Apply precise risk-scoring criteria and assign follow up actions.
Compliance toolsPerform powerful compliance and e-discovery reviews and easily mark, flag, tag and assign messages to other reviewers.
Audit trailProvide proof of supervision and message review with a full audit trail of every action taken within the archive.
ReportsDrill down on message stats and analytics and be more informed about your archived data and review activity.
NotificationsCreate and manage daily, weekly or monthly email reports that are triggered by your criteria, such as keyword or policy matches.
Flexible exportsEasily download, print, forward or export Chatter communication from your Smarsh archive in multiple formats, including AES 256-encrypted files.
ARCHIVE SEARCH & REVIEW PRODUCE & ANALYZE
Secure, compliant and redundant data centers
Managed and operated by Smarsh
SAS70, SSAE16 SOC 2 & 3
Systrust certified
The Security of Your Data is Paramount
Authentication via 256-bit SSL encryption
Safe Harbor Certified
Audited annually by KPMG
Ranked #1 in Overall Customer Service among hosted archiving vendors according to Osterman Research
We Put People First
Implementation team and live trainings
24 x 7 x 365 technical support staff available
Audit and e-discovery support and custom reporting
Archiving & Compliance for Social Media
Portland, OR Atlanta, GABoston, MANew York, NYLos Angeles, CA
5 Offices, Portland HQ
150+ EmployeesSales/MarketingOperations/DevelopmentSupport
20,000+ CustomersHeavily Regulated IndustriesFinancial, Healthcare, Government, SMB/Enterprise
Over the last decade, Smarsh has established itself as a force in the message-
archive and security space within the US financial sector.
2012 Magic Quadrant for Enterprise Information Archiving
