archiving social media for finra compliance
DESCRIPTION
http://smarsh.com/social-media-archiving - "Social media like LinkedIn, Twitter and Facebook are powerful communication tools, but compliance demands cause many in the financial services world to approach these platforms conservatively." - Smarsh/Securities America Case Study Learn how Securities America uses social media to achieve its business objectives and why they partnered with Smarsh to archive social media content for FINRA compliance.TRANSCRIPT
Archiving Social Media for FINRA ComplianceSecurities America Success Story
COMPANY PROFILE A top 10 national independent broker dealer
Headquartered in La Vista, Nebraska
1,700+ financial professionals nationwide
Provides over 500,000 clients with quality financial advice for life
Under the jurisdiction of the Financial Industry Regulatory Authority (FINRA)
SUCCESS STORY
THE CHALLENGE
SUCCESS STORY
Support ongoing social media needs of advisors
Incorporate social media into marketing and customer relationships
Make the supervision process as efficient as possible
Meet compliance regulations set by FINRA
Enable rapid response to data production requests
THE SOLUTION
SUCCESS STORY
Smarsh archiving and compliance for Facebook, LinkedIn, and Twitter Smarsh – trusted compliance provider
Simple implementation and onboarding
Reliable customer data team
Powerful tools to preserve, index, search, review, and produce social media network postings on demand
Thorough and efficient navigation of recordkeeping, sustainability, and supervision requirements of FINRA regulatory notice 10-06
SUCCESS STORY
SUCCESS STORY
Securities America compliance personnel now accomplish routine supervision responsibilities in less time
Reduced “false-positive” search results allows Securities America to spend less of its reviewing efforts inspecting irrelevant messages
Data production requests are handled with greater ease
Supervision efficiency with social media has prompted Securities America’s migration to Smarsh for email archiving
SUCCESS STORY
“We selected Smarsh for the functionality
provided, ease of use and commitment to
support.”
Doreen Griffith
Executive Vice President and Chief Information Officer, Securities America
“The initial setup gave us confidence in both the company and the tool itself.
When we got the Smarsh solution up and running, our job got easier.”
Ryan Boozikee
Compliance Manager, Securities America
THE ARCHIVING PLATFORMEMAIL IM SOCIAL MOBILE WEB VOICE
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