email archiving for sec and finra compliance
DESCRIPTION
"Both the SEC and FINRA require firms registered as broker-dealers to retain emails in a secure electronic form that makes them easily retrievable for examination. Firms are also required to supervise email correspondence to mitigate the risk of unauthorized activity among employees." - Smarsh/Kenmar Olympia Case Study Learn how Kenmar Olympia decided they needed a new, efficient way to manage, review, and preserve emails, and why they partnered with Smarsh to archive email for SEC and FINRA compliance.TRANSCRIPT
Email Archiving for SEC and FINRA ComplianceKenmar Olympia Success Story
COMPANY PROFILE Independent, privately held alternative investment firm
Headquartered in Rye Brook, New York
Consists of four wholly owned, separately operating businesses
Clients include global investment managers, sovereign wealth funds, pensions, brokerage firms, private banks, family offices, and private investigators.
SUCCESS STORY
THE CHALLENGE Comply with SEC and FINRA regulations governing email retention and supervision
Make the review process as efficient as possible
Move email capture and archive offsite
Reliable recovery solution for email
SUCCESS STORY
THE SOLUTIONSmarsh Archiving and Compliance for Email
Smarsh – trusted compliance provider
Offsite, Software-as-a-Service (SaaS) solution
Automatically capture, index, and preserve all email messages
Easy search and retrieval through Smarsh Management Console
Automate many routine supervisory tasks
Flat, per-mailbox pricing
SUCCESS STORY
SUCCESS STORY Accelerates review and reporting process from days to hours
Frees up IT staff resources to focus on more productive activity
Enables compliance reviewers to focus on exceptions and issue resolution
Provides all detail required by regulatory agencies and minimizes audit time
Reduces internal hardware and IT maintenance costs
Simplifies budgeting with predictable, per-mailbox cost
SUCCESS STORY
“The beauty of Smarsh is its simplicity.
Smarsh was simple to set up and simple
to use.”
Frank Coloccia
Senior Vice President & Chief Technology Officer, Kenmar Olympia Group
“We looked at five different vendors, and it came down to pricing, feature
set and simplicity.
At the end of the day, the Smarsh product did exactly what I needed.”
SUCCESS STORY
“We can use keywords and logic to weed
things out.
It’s a key feature and helps
streamline the review process.”
THE ARCHIVING PLATFORMEMAIL IM SOCIAL MOBILE WEB VOICE
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