Comprehensive platform for capturing, archiving, monitoring, and analyzing electronic communications in fund management. Includes AI-powered surveillance, policy-based supervision workflows, communications risk scoring, behavioral analytics, and support for over 80 communication channels.
Systems that capture, archive, and monitor electronic communications including email, chat, and voice to ensure compliance with recordkeeping requirements and prevent inappropriate communications.
More Secure Communication Monitoring
More Risk & Compliance ...
|
End-to-End Encryption Ensures all data transmissions are encrypted between communicating parties. |
Smarsh documentation states that data is encrypted in transit using TLS, indicating end-to-end encryption. | |
|
Data at Rest Encryption Protects stored data from unauthorized access using encryption. |
Product brief, datasheet and Smarsh support pages reference encryption for data stored, supporting 'Data at Rest Encryption'. | |
|
Transport Layer Security (TLS) Utilizes TLS protocols for secure communications. |
Smarsh advertises industry-standard TLS-enabled secure communications for data transport. | |
|
Key Management Robust system for managing encryption keys, including rotation and revocation policies. |
Product offers managed encryption key options and integrates with customer key management systems. | |
|
Data Masking Ability to mask sensitive data to prevent unauthorized disclosure. |
No information available | |
|
Zero Trust Architecture Implements principles of zero trust to restrict lateral movement and access. |
No information available | |
|
Secure APIs APIs are protected with authentication and rate-limiting to prevent abuse. |
APIs are highlighted as secure and include authentication and throttling measures. | |
|
Audit Logging Maintains secure logs of all actions and changes for audit trail. |
Audit logging and robust reporting are listed for compliance evidencing and traceability. | |
|
Data Loss Prevention (DLP) Monitors and prevents unauthorized data exfiltration. |
No information available | |
|
Anonymization/Pseudonymization Ability to anonymize or pseudonymize sensitive data for compliance. |
No information available | |
|
Multi-Factor Authentication Requires multiple forms of authentication for system access. |
MFA is listed for administrator and reviewer console access. | |
|
Intrusion Detection Monitors data environments for signs of intrusion or compromise. |
Intrusion detection functions described as part of managed service; alerts and SIEM integrations available. | |
|
Compliance with Standards Adheres to recognized security standards such as ISO 27001 or SOC 2. |
Smarsh lists certifications including ISO 27001 and SOC 2 Type II. | |
|
Security Patch Management Ensures prompt deployment of security updates and patches. |
Quarterly and urgent security patches; evidence from Trust Center and release notes. | |
|
Granular Access Controls Fine-grained user and role-based access permissions. |
Granular, role-based access covered via admin and reviewer permissioning. |
|
Email Monitoring Can capture and analyze email communications from various providers. |
Captures email from Exchange, O365, Google, and other providers per product datasheet. | |
|
Instant Messaging Monitoring Supports chat applications like Bloomberg, Teams, Slack, and WhatsApp. |
Supports capture/monitoring of Teams, Slack, WhatsApp, and Bloomberg, as listed in marketing and technical collateral. | |
|
Voice Communication Monitoring Records and analyzes voice calls for compliance. |
Voice/telephony capture is named in core feature list. | |
|
Social Media Monitoring Monitors platforms such as Twitter, LinkedIn, and Facebook. |
Integrates with social media archiving for Twitter, Facebook, LinkedIn, and more. | |
|
SMS/Text Message Monitoring Captures and analyzes text messages including SMS and MMS. |
SMS/Text available via carrier and application integrations (as per documentation). | |
|
Video Conferencing Monitoring Supports monitoring of Zoom, WebEx, and similar video platforms. |
Monitors Zoom and WebEx; video conference capture support described. | |
|
Mobile Device Integration Ability to monitor communications on mobile platforms. |
Mobile device support listed for communication monitoring and governance. | |
|
Multi-Language Support Understands and processes communications in multiple languages. |
Product supports 100+ languages for monitoring according to product material. | |
|
Cloud App Integration Integrates with SaaS communication tools. |
Integrates with SaaS tools (O365, G Suite, Slack, Zoom, etc). | |
|
Real-time Data Capture Ability to monitor and capture communications in real time. |
Real-time capture is documented for several communication types. | |
|
Legacy System Integration Compatibility with on-premise and older systems. |
Integrates with legacy on-prem archives, email servers, and proprietary databases. | |
|
Custom Channel Support Option to configure and monitor bespoke channels. |
Lists support for custom/bespoke integrations. |
|
MiFID II Compliance Ensures monitoring features enable compliance with MiFID II. |
Smarsh is MiFID II-compliant; details in regulatory section of product site. | |
|
SEC/FINRA Compliance Features suited for SEC/FINRA communication surveillance requirements. |
Platform is positioned for US SEC/FINRA requirements, supporting all broker/dealer recordkeeping and supervision rules. | |
|
GDPR Support Facilitates privacy and data protection under the European GDPR. |
Marketing describes GDPR-supporting features, including DSR and localization choices. | |
|
Retention Policy Management Configurable message retention periods for regulatory requirements. |
Flexible and granular retention periods configurable in product documentation. | |
|
Automated Compliance Reporting Generates reports and monitoring summaries for auditors and regulators. |
Automated reporting and scheduled compliance exports available. | |
|
Pre-configured Policy Templates Templates for standard compliance monitoring based on best practices. |
Pre-set compliance templates cited in product overview. | |
|
Exportable Audit Trails Easily exportable, immutable logs to share with regulators. |
Audit trails are exportable, and immutable logs are provided for regulatory evidence. | |
|
Data Sovereignty Controls Ensures data remains within legally required geographic boundaries. |
Smarsh offers data residency controls and EU/US region segregation. | |
|
Certification Documentation Provides compliance certificates and documentation support. |
Certifications and evidence packs available for customers and auditors. | |
|
Workflow for Legal Hold Supports litigation hold requirements on communication records. |
Legal hold features discussed in documentation and support articles. |
|
Keyword and Phrase Detection Advanced filtering to detect sensitive, risky, or banned terms. |
Keyword and phrase detection at scale is a core surveillance feature. | |
|
Machine Learning/AI Detection AI-based pattern recognition for advanced risk insight and anomaly detection. |
Platform uses machine learning and AI for behavioral and anomaly detection. | |
|
Natural Language Processing (NLP) Uses NLP to understand context and intent in communications. |
NLP is referenced as part of intent and context analysis in risk surveillance. | |
|
Sentiment Analysis Determines sentiment/tone to help flag negative or escalating conversations. |
Sentiment/tone analysis listed in behavioral and risk analytics features. | |
|
Behavioral Analytics Identifies unusual behaviors such as off-channel or after-hours contact. |
Behavioral analytics highlighted in platform's compliance & risk marketing. | |
|
Insider Threat Detection Flags activities indicative of insider threats or compliance breaches. |
Insider threat detection covered by behavior/risk monitoring tools. | |
|
Automated Alert Generation Automatically generates alerts for high-risk communications. |
Automated alerts configurable for keyword, phrase, risk score, and sentiment triggers. | |
|
False Positive Reduction Tools Features for tuning and fine-tuning engines to minimize false positives. |
Hand-tuning and review of investigation thresholds are described as standard. | |
|
Rule-Based Monitoring Flexible creation of rules and scenarios for detection. |
Rule-based monitoring is fundamental in the supervision workflow engine. | |
|
Customizable Risk Scoring Assigns risk scores based on detected patterns and behaviors. |
Product enables customizable risk scoring models per documentation. | |
|
Volume of Communications Processed Maximum amount of data/messages processed per day. |
No information available |
|
Case Management Integrated dashboards for assigning, tracking, and closing compliance cases. |
Case management and review workflows described for compliance investigations. | |
|
Alert Workflow Management Custom workflows for triaging and resolving flagged incidents. |
Alert workflow management available—can route, assign, escalate flagged incidents. | |
|
Evidence Preservation Capabilities to lock and secure critical evidence for legal or compliance needs. |
Legal hold/evidence preservation listed as functionality for compliance cases. | |
|
Search and Filtering Advanced querying, filtering, and sorting for efficient review. |
Search, filtering and review tools described in UI documentation. | |
|
Keyword Highlighting Highlights detected keywords and phrases in investigator view. |
Keyword highlighting present in user interface materials/screenshots. | |
|
Bulk Actions Supports bulk tagging, commenting, escalation, or closure of alerts. |
Bulk tagging, annotation, and act-on options provided in reviewer UI. | |
|
Collaboration Tools Allows multiple reviewers to collaborate, communicate, and add notes. |
Collaboration features for multi-reviewer/investigation available. | |
|
Annotation and Tagging Ability to annotate and tag communications for future reference. |
Annotation/tagging is documented for review workflow. | |
|
Export and Print Options Enables secure export or print of evidence for regulatory requests. |
Reporting and audit evidence can be exported for compliance needs. | |
|
Time to Resolution Average time taken to close an alert or investigation. |
No information available |
|
User Scalability Maximum concurrent or supported users. |
No information available | |
|
Data Storage Capacity Maximum amount of data that can be stored. |
No information available | |
|
Processing Speed Average speed at which messages or records are processed. |
No information available | |
|
Cloud Deployment Options Availability of cloud-native, on-premises, or hybrid deployment. |
Supports multi-cloud, on-prem, hybrid deployments. | |
|
High Availability Designed for minimal downtime with autoscaling and redundancy. |
High availability indicated via redundancy and failover descriptions. | |
|
Disaster Recovery Built-in capabilities to recover from failures or outages. |
Disaster recovery playbooks described in SLAs and support docs. | |
|
Load Balancing Distributes workload across resources to ensure stability. |
Load balancing options shown in deployment examples and reference architectures. | |
|
Elastic Storage Automatically scales storage with data growth. |
Cloud infrastructure grows to match customer volume ('elastic storage'). |
|
Intuitive Dashboard Modern, clear user interface for quick overview and navigation. |
Modern dashboard shown in product screenshots and demo videos. | |
|
Customizable Views Personalized dashboard, reporting, and alert configurations. |
Admins and reviewers can customize dashboards, reports, and views. | |
|
Role-Based Access Control Functionality and access limited by user roles and permissions. |
Fine-grained role-based authorization managed centrally. | |
|
Single Sign-On (SSO) Integration with enterprise SSO providers for seamless access. |
Single sign-on (SSO) supported; integrates with enterprise identity platforms. | |
|
Mobile Access Ability to access monitoring functions from mobile devices. |
Reviewer/monitoring UI web-based and accessible via mobile/tablet. | |
|
Accessibility Compliance Adherence to standards such as WCAG for disabled users. |
No information available | |
|
Multi-Lingual Interface User interface available in multiple languages. |
Supports user interface in several major languages. | |
|
Self-Service Help/Training Embedded support resources, tutorials, and documentation. |
Integrated help, documentation, and video training are present. | |
|
Notification Preferences Users can customize the types and frequency of alerts/notifications. |
Custom notification/alert preferences can be set in the platform. |
|
Open API Comprehensive API for integrating with other enterprise systems. |
Open, well-documented API available for client use. | |
|
HR System Integration Ability to import user/entity metadata from HR databases. |
HR system metadata integration supported (for user/entity mapping). | |
|
SIEM Integration Integrates with Security Information and Event Management tools. |
Integrates with SIEM systems by export, feed or connector. | |
|
Data Export Capabilities Supports export of raw and processed data to external systems. |
Bulk and scheduled export options are supported to external systems. | |
|
Active Directory Compatibility Syncs with corporate directory and identity management solutions. |
Connects with Active Directory and similar identity tools. | |
|
Custom Integration Support Provides professional services for custom integrations. |
Professional services and custom API integration support offered. | |
|
Webhook Notifications Supports real-time event notification through webhooks. |
Webhook event notification supported in platform. | |
|
Third-party Marketplace Connectors Integration-ready connectors for popular SaaS and compliance tools. |
Third-party connectors available (Salesforce, Office 365, Zoom, etc). |
|
Custom Report Builder Easy-to-use interface for generating tailored reports. |
Custom reporting builder in admin UI. | |
|
Scheduled Reporting Automated delivery of regular reports to specified recipients. |
Scheduled (automated) reporting. | |
|
Export to Multiple Formats Reports can be exported to PDFs, Excel, CSV, etc. |
Exports to PDF, Excel, CSV available. | |
|
Data Visualization Tools Graphs, heatmaps, and other visual tools to spot trends. |
Data visualization, graphs, and heatmaps available. | |
|
Drill-Down Capabilities Ability to investigate from aggregated data down to individual messages. |
Drill-down from summary to message level supported. | |
|
Regulatory Filing Support Templates and exports for regulatory reporting. |
Regulatory reporting templates and custom exports available. | |
|
Access Control on Reports Limits report access by user/role. |
Role-based access control on all reports. | |
|
Historical Data Comparison Compare metrics and alert rates over different timeframes. |
Comparison and historical benchmarking built in. |
|
Privacy-by-Design Features Default settings and architectures protect user privacy. |
'Privacy by design' referenced in compliance documentation and default settings. | |
|
Ethical Filtering Opportunities to exclude personal or confidential discussions from monitoring. |
Ability to exclude specific/jurisdiction channels and enforce exceptions. | |
|
Employee Consent Management Tracks and enforces employee consent for monitored channels. |
Tracks consent as part of monitored user profiles. | |
|
Privacy Notices and Disclosures Built-in mechanisms for notifying monitored users. |
Notifies users of archiving & monitoring as part of onboarding & channel integration. | |
|
Redaction Tools Ability to redact data from records before access or sharing. |
Reviewer tools allow redacting sensitive information from case output. | |
|
Right to be Forgotten Supports deletion of records upon legitimate requests. |
Enables deletion on validated 'right to be forgotten' requests. | |
|
Data Minimization Collects and retains only necessary data. |
Supports collection and retention of only necessary data; configurable settings. | |
|
Access Review Automation Monitors and reports on who accesses what data and when. |
Automated access review options for audit and compliance. |
|
24/7 Support Availability Round-the-clock customer or technical support. |
24/7 technical support outlined in contracts and on website. | |
|
Onboarding Assistance Help with initial setup, configuration, and migration. |
Onboarding assistance included in standard plans. | |
|
Regular Updates Continuous improvement and maintenance with regular updates. |
Frequent/regular platform updates described. | |
|
Knowledge Base Access Comprehensive support portal with documentation and FAQs. |
Comprehensive support documentation and searchable knowledge base. | |
|
User Community Active online community for sharing best practices and troubleshooting. |
Active user forums and community discussion groups. | |
|
Dedicated Account Manager Single point-of-contact for customer relationship. |
Dedicated account manager is offered at enterprise tier. | |
|
Service Level Agreement (SLA) Defined response and resolution times for support inquiries. |
Standard SLA documentation on response/resolution timelines. | |
|
Training Options Availability of live or web-based training sessions. |
Training via live sessions, webinars, and on-demand modules. |
This data was generated by an AI system. Please check
with the supplier. More here
While you are talking to them, please let them know that they need to update their entry.