Monitors and tracks compliance of all digital communications throughout insurance product lifecycles, supports archiving, e-discovery, policy management, and regulatory reporting.
Software that monitors insurance regulations across jurisdictions and ensures product features, documentation, and filing requirements meet current legal standards.
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Multi-Jurisdiction Support Supports tracking of compliance requirements across multiple countries, states, and regions. |
Platform is designed to support compliance across jurisdictions as evidenced by Smarsh's positioning for regulated industries including insurance, with global and regional coverage. | |
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Regulatory Database Breadth Number of jurisdictions and regulatory authorities covered. |
No information available | |
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Automated Regulatory Updates Automated ingestion and updating of new or modified regulations. |
Smarsh advertises automated monitoring for new and changing regulations affecting digital communications compliance. | |
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Historical Version Tracking Ability to review and revert to previous regulation versions. |
Web archiving with e-discovery inherently retains historic versions and enables complete review of previous states. | |
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Rule Mapping to Product Features Links regulatory requirements directly to insurance product features. |
No information available | |
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Taxonomy Customization Administrator-adjustable regulatory taxonomy and tagging. |
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Cross-Border Regulation Comparison View and compare regulations across different jurisdictions. |
No information available | |
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Regulation Impact Assessment System assesses the impact of regulatory changes on product design. |
No information available | |
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Regulation Applicability Filter Ability to filter relevant regulations by product type, line of business, and market segment. |
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Search and Retrieval Speed Average time to search and retrieve regulatory content. |
No information available | |
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Industry Standard Classification Support Supports NAIC, EIOPA, IAIS, and other insurance standard classifications. |
No information available | |
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Custom Regulatory Inclusion Users can add and map custom or ad hoc regulations. |
No information available | |
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Consent and Privacy Regulation Triggering Tracks GDPR, CCPA, and similar data privacy regulations for insurance products. |
Explicitly mentions GDPR, CCPA and other privacy compliance capabilities for insurance firms. | |
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Foreign Language Support Supports regulations in multiple languages. |
No information available | |
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Sector-Specific Rule Sets Includes dedicated rulesets for life, health, P&C, specialty, reinsurance, etc. |
No information available |
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Document Version Control Provides version history and audit trails for all filing documents. |
E-discovery and full archiving is a requirement-driven function; version history is retained for legal and compliance reviews. | |
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Template Library Centralized library of regulator-approved filing templates and checklists. |
No information available | |
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Document Generation Automation Auto-generates compliant documents based on product and jurisdiction inputs. |
No information available | |
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Real-Time Document Validation Checks filings for omissions, errors, or non-compliance before submission. |
No information available | |
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E-filing Integration Enables electronic submission to regulator portals. |
Smarsh offers integrations and e-filing options for regulatory communications, enabling direct regulatory submission. | |
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Filing Status Tracking Tracks the status and approval progress of each regulatory filing. |
Regulatory compliance dashboards track status of filings and communications for audit. | |
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Collaborative Document Editing Multiple users can collaboratively edit documentation in real-time. |
No information available | |
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Legal Review Workflow Workflow support for legal/actuarial approval of filings. |
Workflow and compliance approval processes supported, especially for archiving and regulatory submissions. | |
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Change Impact Reporting Reports on changes between document versions with compliance impact. |
No information available | |
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Upload File Size Limit Maximum file size supported for documentation uploads. |
No information available | |
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Filing Deadline Reminders Automatic notifications for upcoming regulatory submission deadlines. |
Product offers reminders and notifications to help meet submission and reporting deadlines. | |
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Export to Multiple Formats Export documents in formats required by regulators (PDF, DOCX, XLSX, etc.). |
Smarsh supports exporting archives and e-discovery results in multiple regulator-specified formats (PDF, CSV, etc.). | |
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Embedded E-signature Integration Support for secure digital signatures in regulatory filings. |
No information available |
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Automated Change Alerts Notifies users of regulatory changes relevant to their products/regions. |
No information available | |
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Alert Customization Users can customize which topics and jurisdictions trigger alerts. |
No information available | |
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Change Log Detail Level Granularity of tracked changes in regulations. |
No information available | |
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Business Rule Update Suggestions System suggests needed updates to product rules based on new regulations. |
No information available | |
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User Role-Based Alerts Alerts are sent based on user roles, product lines, or departments. |
No information available | |
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Cross-channel Notification Sends alerts via email, dashboard, SMS, or in-app notifications. |
Smarsh cross-channel notification described (email, dashboards, automated alerts) for compliance events. | |
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Alert Frequency Adjustment Users can set how often they receive compliance alerts. |
No information available | |
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Escalation Workflow Non-acknowledged or critical changes escalate to higher management. |
No information available | |
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Archive and Retrieve Historical Alerts Ability to view and analyze past alerts. |
No information available |
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Automated Product Scanning Automatically scans product features for non-compliance. |
No information available | |
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Custom Validation Rules Allows insurers to define custom rules in addition to regulatory requirements. |
No information available | |
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Bulk Validation Capability Validate multiple products/files simultaneously. |
No information available | |
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Error and Exception Reporting Details on why a product failed compliance validation. |
No information available | |
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Validation Processing Speed Average time to complete product validation process. |
No information available | |
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Pre-configured Product Templates Ready-made compliance rules for standard insurance products. |
No information available | |
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Rate and Form Consistency Checker Validates alignment of filed rates and forms with regulations. |
No information available | |
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Audit Readiness Score Rating indicating how prepared a product is for regulatory audits. |
No information available | |
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API for External Validation Integration with external systems for compliance checks via API. |
Smarsh solutions support API integration and external validation through robust connectors for legal and compliance systems. | |
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Embedded Testing Sandbox Safe environment to test products for compliance before real submissions. |
No information available |
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Open API Support Well-documented REST or SOAP APIs for integration. |
Open API support is highlighted on the Smarsh product page for system integration. | |
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Integration with Core Insurance Systems Direct connections with policy admin, claims, and actuarial systems. |
Product supports integration with insurance policy admin and other core systems via API and connectors. | |
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External Regulatory Data Feeds Receives real-time feeds from regulators and legal content providers. |
Smarsh offers real-time feeds and regular updates from regulatory sources and content providers. | |
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Single Sign-On (SSO) Support Integration with enterprise identity providers (LDAP, SAML, OIDC, etc.). |
Enterprise SSO (SAML, OIDC, LDAP) is supported as part of security posture. | |
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Batch Data Import/Export Tools Tools for bulk upload/download of regulatory and product data. |
Bulk import/export tools described for data archiving and downstream processing. | |
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Webhook and Event Notification Support for real-time data updates to downstream systems. |
No information available | |
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Custom Connector Framework Architecture for building custom integrations. |
No information available | |
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Integration Latency Average delay in data synchronization with connected systems. |
No information available |
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Task Assignment and Tracking Assign and track individual responsibilities in the compliance process. |
Task assignment and status tracking available in the compliance workflow features. | |
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Approval Workflow Customization Design and automate multi-step approval workflows. |
No information available | |
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Collaboration Spaces Secure channels for discussion among compliance, legal, and product teams. |
No information available | |
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Commenting and Discussion Threads Threaded discussions on specific filings, regulations, or tasks. |
No information available | |
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Workflow Visualization Graphical view of workflow status, bottlenecks, and pending actions. |
No information available | |
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Configurable Notifications Set notification triggers for task deadlines or workflow transitions. |
No information available | |
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Delegation and Proxy Assignment Set backup assignees for compliance tasks. |
No information available | |
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Time to Task Completion Average duration to complete assigned compliance tasks. |
No information available | |
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Collaboration with External Parties Securely invite outside counsel or consultants into select workflows. |
External counsel/consultants can be invited to workflows for legal and regulatory review. |
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Pre-built Compliance Dashboards Visualizes compliance status by product, region, risk, and deadline. |
Compliance status dashboards are a core feature of the Smarsh platform. | |
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Custom Report Builder Users can build ad hoc reports on any stored compliance data. |
No information available | |
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Exception Reporting Reports on overdue, failed, or incomplete compliance activities. |
No information available | |
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Regulatory Change Frequency Tracking Tracks how often regulations affecting a product change. |
No information available | |
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Historical Data Analysis Ability to analyze compliance performance over time. |
No information available | |
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Data Export Formats Number of file types supported for data export. |
No information available | |
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Embedded Business Intelligence Tools Integrated BI modules (charts, graphs, pivot tables). |
No information available | |
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Performance Metrics Track key indicators like time to compliance, audit findings, etc. |
Reporting modules track key compliance metrics and performance indicators. | |
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Dashboards Refresh Rate Frequency with which dashboards update with new data. |
No information available |
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Comprehensive Audit Logging Tracks all user actions, changes, and regulatory interactions. |
The audit trail functionality is emphasized across Smarsh’s archiving and compliance offerings. | |
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User Access History Log of who accessed what data and when. |
User access logs are part of regulated archive solutions (who, what, when). | |
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Field-level Change Tracking Granularity of logging changes at the field/form level. |
Audit functionality provides granular field-level change tracking to ensure compliance. | |
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Audit Log Retention Period How long audit logs are stored. |
No information available | |
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Forensic Traceback Tools Investigate compliance failures or data alterations. |
No information available | |
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Exportable Audit Trails Logs can be exported for regulator or internal review. |
Exportable audit logs are explicitly mentioned for regulatory submission and review. | |
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Approval Timestamping All approvals timestamped with immutable records. |
Approvals and workflow actions are timestamped and immutable within the audit log. | |
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Automated Exception Logging System-generated logs of non-standard or erroneous events. |
Exception events and anomalies are logged automatically to meet compliance e-discovery requirements. | |
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Regulatory Audit Preparation Tools Capabilities designed to assemble audit packets on demand. |
Audit packet Preparation Tooling is fundamental to Smarsh’s regulatory solutions for review readiness. |
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Role-Based Access Control Users are assigned appropriate permissions for their roles. |
Role-based permission and access controls are configurable for compliance and audit segmentation. | |
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Personalized Dashboards Each user can customize their workspace and priority indicators. |
No information available | |
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Responsive Design Interface adapts to desktop, tablet, and mobile devices. |
Web app is responsive for access across desktop and mobile for regulated communications archiving. | |
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Guided Walkthroughs Onboarding and in-app tutorial support. |
No information available | |
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Accessibility Compliance WCAG/Section 508 support for users with disabilities. |
No information available | |
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Customizable Notification Preferences Each user can set how and when they are notified of compliance events. |
No information available | |
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Documentation and Help Center Extensive user documentation and contextual help. |
Comprehensive documentation and customer help center available for compliance clients. | |
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Language Localization Options UI available in multiple languages as needed by user base. |
No information available | |
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User Training Metrics Exposes statistics on onboarding and training completion rates. |
No information available |
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Data Encryption (In Transit/At Rest) Ensures secure handling of data throughout lifecycle. |
Data encryption in transit and at rest is explicitly noted as a compliance and security feature. | |
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Granular Permission Settings Fine-tuned control over who can view, edit, or export data. |
Permissions can be finely tuned for compliance, audit, and discovery purposes. | |
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Multi-factor Authentication Requires users to verify identity with multiple credentials. |
MFA is available for enterprise deployments. | |
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Audit-Ready Security Logs Security-specific event logging available for audit. |
Security events and access logs are retained for audit and regulatory review. | |
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Automated Data Masking Masks sensitive information in logs, reports, and screens. |
No information available | |
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Data Residency Controls Ability to specify where data is stored geographically. |
No information available | |
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GDPR/CCPA Readiness Features to facilitate compliance with major data privacy legislation. |
Specific mention of support for GDPR and CCPA readiness for insurance/financial services. | |
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System Penetration Testing Frequency Frequency of scheduled penetration testing for security. |
No information available | |
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Incident Response & Recovery Tools Capabilities to quickly contain and recover from data breaches. |
Smarsh platform includes incident and breach response features to help contain/recover from compliance incidents. |
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