"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.
2. 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.
3. 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
4. SUCCESS STORY
THE SOLUTION
Smarsh 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
5. 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
6. 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 can use
keywords and logic
to weed things out.
It’s a key feature
and helps
streamline the
review process.”
“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.”
8. Want to see more?
Visit our website
Or contact us for a live demonstration:
Email: sales@smarsh.com
Phone: 1-866-762-7741
facebook.com/SmarshInc
@SmarshInc
Linkedin.com/companies/smarsh