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Smarsh Compliance Platform from Smarsh

Unified compliance monitoring for digital communications, surveillance, policy management, retention, and e-discovery. Customizable alerts and automated workflows support governance requirements in pension fund management.

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Product analysis by function

Compliance Monitoring Tools for Compliance and Governance

Systems that continuously monitor operations against regulatory requirements and internal policies, providing alerts for potential compliance issues and maintaining audit trails of compliance activities.
More Compliance Monitoring Tools More Compliance and Governance ...

Real-Time Regulatory Compliance Checks
(5 Yes /5 Known /10 Possible features)

Alerting and Notification
(6 Yes /6 Known /10 Possible features)

Audit Trail and Logging
(5 Yes /5 Known /9 Possible features)

Regulatory Reporting
(4 Yes /4 Known /9 Possible features)

Policy Management
(7 Yes /7 Known /9 Possible features)

User Access & Permissions
(5 Yes /5 Known /8 Possible features)

Data Security & Privacy Compliance
(7 Yes /7 Known /8 Possible features)

Integration & Interoperability
(4 Yes /4 Known /8 Possible features)

Dashboard & Analytics
(7 Yes /7 Known /8 Possible features)

Testing, Training & Change Management
(4 Yes /4 Known /8 Possible features)

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Automated Rule Engine A configurable engine that checks activities and transactions against current regulations.		Smarsh offers automated monitoring of regulated communications using rule-based engines, consistent with a configurable rule engine.
Regulation Library Updates System provides timely updates to the regulatory framework integrated into the compliance check engine.		Smarsh maintains up-to-date regulatory coverage and adapts to new rules, indicating timely regulation library updates.
Customizable Business Rules Allows creation and modification of internal compliance rules for specific fund management objectives.		Platform advertises customizable and automated workflow rules for governance and compliance.
Frequency of Checks Interval at which compliance checks are performed in the system.		No information available
Multi-Jurisdictional Support Supports compliance monitoring across multiple regulatory jurisdictions.		Smarsh is used globally and highlights support for multiple regulatory jurisdictions.
Historical Rule Versioning Tracks and maintains versions of compliance rules as regulations change over time.		No information available
Granular Exception Handling Ability to set threshold-based alerts and manage exceptions at detailed levels.		Customizable alerting and threshold management is a core marketed feature by Smarsh.
Scenario Testing Simulates fund activities to test compliance with anticipated regulatory changes.		No information available
Rules Execution Speed Average latency in processing compliance rule checks upon transaction/event.		No information available
Automated Regulatory Filing Support Automatically prepares and/or submits required compliance-related filings to relevant authorities.		No information available

Custom Alert Thresholds Administrators can define alert sensitivity and escalation paths.		Administrators can define alert settings for different types of communication or roles.
Real-Time Alerting Delivers notifications instantly upon detection of violations.		Smarsh provides real-time alerting capabilities, as described in product briefs.
Multi-Channel Notifications Supports alerts via email, SMS, in-app, or dashboard notifications.		Platform supports notification via email, SMS, dashboard, and in-app.
Alert Response Tracking Records actions taken in response to compliance alerts.		No information available
Notification Time to User Average time from breach detection to notification delivery.		No information available
Escalation Matrix Support Automates escalation of unresolved or critical alerts to higher authorities.		Can escalate unresolved or critical alerts to compliance officers/managers.
Alert Customization Level Degree to which alerts can be tailored by user or event type.		No information available
Mobile Notification Support Ability to push compliance alerts to mobile devices.		Mobile support and notifications are part of the Smarsh archiving and alert platform.
Comprehensive Audit of Alerts Maintains a history log of all alerts, notifications sent, and responses.		Smarsh logs all alert actions and notifications for auditability.
False Positive Rate Proportion of alerts triggered incorrectly.		No information available

Immutable Audit Logs Logs are secured from alteration, ensuring an accurate record of compliance activities.		Audit logs are designed to be tamper-evident and unalterable.
Granularity of Logging Level of detail recorded in compliance logs.		No information available
Log Retention Policy Configuration Ability to define custom retention periods for audit trails.		Log retention policies can be configured to meet compliance/industry standards.
User Activity Tracking Monitors individual actions within compliance systems for accountability.		Tracks all user and admin actions for compliance.
Timestamp Accuracy Degree of precision in log timestamps.		No information available
Export Capabilities Ability to export logs in multiple formats (CSV, JSON, PDF) for external audits.		Logs and reports can be exported for e-discovery and audit in multiple formats.
Tamper Detection Automated detection of attempted modifications to audit records.		System features tamper evidence and automated tamper detection.
Segregation of Duties Monitoring Tracks and enforces separation between compliance tasks to mitigate risk.		No information available
Automated Log Archiving Scheduled archiving of older audit logs for storage optimization.		No information available

Pre-Built Regulatory Templates Offers templates for common regulatory reports required by pension fund agencies.		No information available
Custom Report Builder Allows bespoke report creation based on internal or emerging requirements.		The platform includes bespoke and on-demand report building.
Scheduled Report Generation Supports automatic report creation on predefined schedules.		Regulatory and audit reports can be scheduled for automatic creation/delivery.
Regulatory Filing Formats Supported Number of supported output formats (e.g., XBRL, PDF, XML).		No information available
E-Filing Integration Direct integration with regulator e-filing portals.		No information available
Submission Error Detection Identifies and highlights possible errors or omissions prior to regulatory submission.		No information available
Real-Time Data Validation Checks for data correctness before inclusion in regulatory reports.		Data validation checks are performed on ingested and reported communications.
Historical Report Repository Stores all past regulatory filings for easy retrieval and review.		All historical reports/filings preserved for e-discovery and future audits.
Automated Change Logs for Reports Maintains records of edits to regulatory reports prior to submission.		No information available

Central Policy Repository A centralized and secure platform for all compliance policies.		Centralized repository for policy and compliance documentation is part of the platform.
Version Control Tracks changes and maintains previous versions of policies.		Policy versioning and document management available in-policy management suite.
Automated Enforcement of Policies Automatically applies internal policy rules to operational workflows.		Policies are enforced automatically as part of workflows and alerts.
Policy Acknowledgement Tracking Monitors and records acknowledgment of policy reviews by staff.		Action tracking of staff policy acknowledgment is marketed; available to supervisors.
Policy Review Reminders Automated notifications to review and update policies periodically.		No information available
Policy Coverage Scope Number of functional areas (e.g., trading, reporting, HR) governed by policies.		No information available
Role-Based Policy Access Controls access to policy documents by user roles.		Access to policy documentation and reporting is role-based.
Audit Trail of Policy Changes Logs all modifications made to policies.		All policy/document changes are recorded for auditing.
Search and Retrieval Full-text search within all compliance policies.		Full-text search for policies and compliance documents.

Role-Based Access Control Enforces permissions and restrictions based on user roles.		Strict role-based access and permissions management included.
Multi-Factor Authentication (MFA) Requires two or more authentication methods for system access.		Multi-factor authentication available for secure access.
Granular Permission Levels Degree of detail in user access control settings.		No information available
Automated Access Reviews Schedules and manages regular reviews of access permissions.		No information available
Access Log Tracking Maintains comprehensive logs of user login and activity.		Access logs and user activity are tightly tracked for security and compliance.
Temporary Access Capability Grants time-bound access for special compliance needs.		Temporary account provisioning for specialized investigations is possible.
Segregation of Duties Enforcement Automatically prevents assignment of incompatible roles.		No information available
Inactive Account Alerts Automatically flags inactive user accounts for review.		Inactive account alerting is part of user and permission management tooling.

Data Encryption At Rest Encrypts sensitive data stored in the system.		Data at rest is encrypted to meet industry compliance and privacy standards.
Data Encryption In Transit Protects data as it moves across networks.		In-transit data encryption (TLS, SSL) is standard for modern SaaS/hosted compliance solutions.
Data Retention Policy Support Manages automatic deletion or archiving of data per privacy regulations.		Retention policies govern both communications and associated metadata.
PII (Personal Identifiable Information) Detection Automatically identifies and flags storage of PII within compliance records.		Automated detection and flagging of PII in archived and monitored communication streams.
GDPR/CCPA Configuration Built-in support for configuring compliance with major privacy laws.		Platform includes configuration options for GDPR/CCPA compliance.
Data Anonymization Tools Facilitates masking or pseudonymization of personal data.		No information available
Security Event Monitoring Continuous monitoring of system access and data changes for security threats.		Security and audit event monitoring is advertised as part of Smarsh's continuous compliance focus.
Data Breach Response Workflow Pre-defined steps and notification process in case of detected data breach.		Incident detection and pre-defined breach notification workflows are included per regulatory requirements.

API Availability Public and documented APIs for integration with third-party applications.		API access (RESTful and documented) for integration is available to enterprise clients.
Standard Data Formats Supported Ability to interface with other systems using common data standards (e.g., CSV, XML, JSON).		Supports import/export in standard formats such as CSV, XML, and JSON for interoperability.
Plug-and-Play Connectors Ready-made connectors for integration with popular fund management systems.		No information available
Batch Data Import/Export Supports bulk data exchange with external systems.		Bulk import/export is supported for legacy data migration and reporting.
Integration Response Time Average time taken to transmit and receive compliance data through interfaces.		No information available
Webhooks Supports real-time notification and integration events via webhooks.		No information available
Compliance Portal Integration Direct links to regulatory agency portals for streamlined compliance submissions.		No information available
Data Mapping Flexibility Ability to configure mapping for third-party data to internal system fields.		Customizable field mapping is available for integrations with third-party systems.

Customizable Dashboards Personalized dashboards per user or team.		Dashboards can be tailored to user/team; customizable widgets and views included.
Compliance KPI Tracking Visual display of key performance indicators relevant to regulatory compliance.		Compliance dashboards include KPI widgets and tracking capabilities.
Real-Time Data Refresh Rate Frequency at which dashboard data updates.		No information available
Drill-Down Analytics Ability to click through summary violations to investigate root causes.		Drill-through analysis is supported to investigate root cause of violations.
Trend Analysis Tools Identifies compliance issues and patterns over time.		Trend and pattern analysis tools built into reporting and dashboard modules.
Custom Report Generation Ability to create bespoke analytic reports.		Custom report and dashboard generation advertised as major feature.
Export Dashboard Data Ability to export dashboard views to standard formats.		Exporting dashboard data is supported for further analysis or review.
Dashboard Sharing Permissions Control who can view or edit dashboard data and layouts.		User and team-level access control over dashboards and views.

Sandbox/Test Environment Allows new compliance rules and changes to be tested before live deployment.		Platforms offers non-production environments for configuration and rule testing.
User Training Modules Self-service or instructor-led training integrated into the platform.		Role-based access to training materials and user onboarding modules.
In-App Guidance Step-by-step instructions and tooltips to help users with compliance processes.		No information available
Change Management Workflows Structured procedures for managing compliance-related changes.		No information available
Change Approval Workflows Multi-level approval steps required before compliance changes go live.		No information available
Change Implementation Time Time taken to implement and roll out system changes.		No information available
Rule Impact Analysis Assessments on how a policy or rule change affects fund operations.		Impact analysis tools are included for rule and compliance policy changes.
Version Rollback Capability Can revert to previous system/policy states if needed.		Version rollback of rules and policy configurations supported.

Smarsh Compliance Platform from Smarsh

Product analysis by function

Compliance Monitoring Tools for Compliance and Governance

Real-Time Regulatory Compliance Checks (5 Yes /5 Known /10 Possible features)

Alerting and Notification (6 Yes /6 Known /10 Possible features)

Audit Trail and Logging (5 Yes /5 Known /9 Possible features)

Regulatory Reporting (4 Yes /4 Known /9 Possible features)

Policy Management (7 Yes /7 Known /9 Possible features)

User Access & Permissions (5 Yes /5 Known /8 Possible features)

Data Security & Privacy Compliance (7 Yes /7 Known /8 Possible features)

Integration & Interoperability (4 Yes /4 Known /8 Possible features)

Dashboard & Analytics (7 Yes /7 Known /8 Possible features)

Testing, Training & Change Management (4 Yes /4 Known /8 Possible features)