Case Study: Social Media for Financial AdvisorsSmarsh helps the ProEquities compliance team supervise more communication with less effort
COMPANY PROFILE ProEquities, Inc. was founded in 1983 as a home for independent
registered representatives and financial advisors in all fifty states.
A proactive, growth-oriented organization, ProEquities focuses on serving the financial advisor who wants to be independent from a “wire house” environment.
SUCCESS STORY
THE CHALLENGE Provide independent advisors with expanded, modern communication
capabilities, including social media such as LinkedIn, Facebook, and Twitter.
Ensure burden on personnel and existing systems in the IT and compliance departments was kept to a minimum.
Provide efficient oversight from the compliance department while meeting industry recordkeeping and supervision requirements set forth by the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC).
SUCCESS STORY
THE SOLUTION Archiving for email, LinkedIn, Twitter, and Facebook.
Smarsh Trusted compliance provider with deep understanding of records retention
and compliance regulations.
Easy-to-use, flexible platform that enables extension of supervision policies across multiple content types.
Engaged and responsive customer service.
Cloud-based solution reduces burden on IT resources.
SUCCESS STORY
SUCCESS STORY ProEquities advisors leverage social media without overburdening the
compliance or IT staff.
Smarsh Archiving Platform facilitates fast, simple and effective compliance review across email and social media.
Archiving Platform is tailored to the ProEquities compliance review structure.
Smarsh Implementation team was responsive and easy to work.
SUCCESS STORY
“Smarsh helps our compliance team turn a
complex and challenging part of our business into something the advisors
just don’t have to worry about.”
Ellen MichaelDirector of Marketing, ProEquities
SUCCESS STORY
“With Smarsh, our email and social media review is
more efficient.”
“Smarsh presented us with solutions we can depend on.”
James BrangleSenior Compliance Officer,
ProEquities
Chris ShawChief Information Officer, ProEquities
THE ARCHIVING PLATFORMEMAIL IM SOCIAL MOBILE WEB VOICE
facebook.com/SmarshInc
@SmarshInc
Linkedin.com/companies/smarsh
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