Proofpoint Archive
Shares tags: trust, security & compliance, regulatory, finra
AI Tool
Transform Your Compliance with Smarsh FINRA Archive
Automate supervision workflows aligned with FINRA regulations for peace of mind.
Stay compliant with AI-powered workflows that enhance efficiency and accuracy.Reduce review workload with intelligent filtering for high-risk communications.Adapt effortlessly to evolving regulatory standards with cloud-native solutions.
Tags
Trust, Security & ComplianceRegulatoryFINRA
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overview
Overview of Smarsh FINRA Archive
The Smarsh FINRA Archive is designed to streamline the supervision of communications for financial firms while ensuring compliance with rigorous FINRA regulations. By leveraging AI technology, it reduces the effort needed for monitoring and enhances the reliability of reviews.
- Aligned with FINRA regulations 2210/3110.
- Automated workflows for efficient communication supervision.
- Tailored for various financial entities including banks and hedge funds.
features
Key Features
The Smarsh FINRA Archive combines advanced technology with user-friendly features to enhance your compliance processes. From AI-driven assistance to customizable reporting, it offers powerful tools to meet your firm’s needs.
- AI-powered compliance assistant for automated risk detection.
- Echo cancellation to reduce false positives and streamline reviews.
- Customizable reports to meet specific regulatory requirements.
use_cases
Use Cases
Smarsh FINRA Archive is ideal for a diverse range of financial services professionals looking to simplify compliance. Whether you're in asset management or wealth management, our solution meets your unique regulatory challenges.
- Ideal for compliance teams in broker-dealer firms.
- Supports wealth managers in meeting audit requirements.
- Assists hedge funds with e-discovery needs.
Frequently Asked Questions
What is Smarsh FINRA Archive?
Smarsh FINRA Archive is a comprehensive communications archiving solution that helps financial firms maintain compliance with FINRA regulations through AI-driven supervision workflows.
How does AI improve compliance monitoring?
AI enhances compliance monitoring by automating risk detection, summarizing content, and filtering communications to focus on high-risk messages, thereby reducing review workload for teams.
Who can benefit from using Smarsh FINRA Archive?
Smarsh FINRA Archive is beneficial for asset managers, broker-dealers, wealth management firms, RIAs, banks, and compliance/legal/IT professionals looking for effective regulatory solutions.