at Financial Technnology Year
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Connected Capture & Archiving from Smarsh
Unified solution for archiving, monitoring, and supervising all client-facing documentation and communications. Enables rapid e-discovery, compliance review, and supports integration with CRM and trading platforms.
Product analysis by function
Document Management Systems for Client Services
Solutions for securely storing, retrieving, and managing client documents, contracts, and account paperwork with appropriate access controls.
More Document Management Systems
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Security & Access Control
(12 Yes /12 Known /13 Possible features)
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Encryption at Rest Documents are encrypted while stored in the system. |
Smarsh Connected Capture & Archiving emphasizes secure storage and compliance for financial services, and encryption at rest is standard for such offerings. | |
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Encryption in Transit Data is encrypted while being transferred between users and servers. |
Industry best practice and regulatory compliance require encryption in transit; Smarsh documentation and whitepapers confirm this. | |
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Role-based Access Control Allows assignment of access to documents based on user roles or job titles. |
Role-based access control is featured in regulatory/archiving products for the financial sector. Smarsh documentation indicates this capability. | |
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Multi-factor Authentication Requires more than one form of user authentication to access the system. |
Smarsh mentions multi-factor authentication for enhanced security in marketing and technical documentation. | |
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Granular Permission Settings Ability to set permissions at folder, document, and user levels. |
Granular permission setting is noted as a key feature needed for audit/compliance and is referenced in Smarsh product PDF guides. | |
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Audit Trails Comprehensive logging of all actions, access, and modifications for compliance and security review. |
Audit trails are a core component of compliance and are referenced in Smarsh solution briefs. | |
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Single Sign-On (SSO) Supports integration with enterprise SSO providers for unified authentication. |
Smarsh supports SSO integration as listed on their integration documentation. | |
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IP Whitelisting Restricts access to the system from approved IP ranges only. |
IP whitelisting is a standard feature for compliant archiving platforms, referenced in Smarsh technical documents. | |
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Time-based Access Restrictions Limits system access to specific times for certain users or groups. |
No information available | |
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Data Loss Prevention (DLP) Prevents sensitive information from being improperly accessed or shared. |
Data loss prevention is cited as part of Smarsh compliance feature set. | |
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Automatic Session Timeouts Sessions automatically log out users after a period of inactivity. |
Automatic session timeouts are a standard security compliance item referenced on Smarsh’s Datasheets. | |
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SSL/TLS Support Supports secure socket layers/transport layer security protocols. |
Product is web-based and supports SSL/TLS for data protection in transit. | |
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Secure Mobile Access Enables mobile users to securely access documents through dedicated apps or browsers. |
Smarsh advertises secure mobile access as part of their offering. |
Document Storage & Organization
(5 Yes /5 Known /13 Possible features)
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Unlimited Storage Capacity Maximum amount of storage available for documents. |
No information available | |
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Metadata Tagging Ability to attach custom metadata to documents for advanced organization. |
Metadata tagging is included for e-discovery and advanced search capabilities. | |
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Full-text Search Search capability allowing retrieval of documents based on content, not just filenames or metadata. |
Smarsh supports full-text search for document retrieval. | |
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Folder Hierarchy Support Supports nested folder structures for document categorization. |
Folder hierarchy is standard in Smarsh's organizational structure. | |
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Version Control Keeps track of document versions and changes over time. |
Version control is an important feature for archiving solutions per Smarsh documentation. | |
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Bulk Upload/Download Users can upload or download multiple documents at once. |
Bulk upload and download are cited as available for migrating and exporting data. | |
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Document Templates Pre-defined templates for common documents and forms. |
. | No information available |
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Drag-and-Drop Upload Allows users to upload files by dragging them into the browser window. |
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Document Preview Displays previews of documents without requiring download. |
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Duplicate Detection Identifies and flags potential duplicate files. |
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Retention Policies Automated rules for keeping or purging documents after a specified period. |
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Check-in/Check-out Functionality Prevents conflicting edits by locking documents when being edited. |
. | No information available |
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Automated Filing Automatically files incoming documents into correct folders/sections based on rules. |
. | No information available |
Compliance & Audit
(4 Yes /4 Known /12 Possible features)
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FINRA/SEC Compliance Features Built-in tools and controls for meeting brokerage documentation regulations. |
Smarsh emphasizes features for FINRA/SEC compliance in financial services product suite. | |
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Data Retention Compliance Automatically enforces legal retention periods for client records. |
Retention compliance is explicitly referenced and configurable for different regulatory requirements. | |
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WORM Storage Option Write Once Read Many (WORM) support to prevent document alteration. |
WORM storage is a stated part of the Smarsh solution for brokerage/financial clients. | |
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Legal Hold Mechanism Ability to restrict deletion or modification of documents under investigation. |
Legal hold mechanism is standard for compliance archiving, promoted by Smarsh. | |
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Compliance Reporting Generates reports demonstrating adherence to compliance policies. |
. | No information available |
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Automated Regulatory Updates Updates retention policies and workflows in response to new laws or regulations. |
. | No information available |
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Tamper Evident Document Logs Shows clear evidence if records are altered. |
. | No information available |
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Electronic Signature Compliance Adheres to e-sign regulations (e.g., ESIGN, UETA) for legal acceptance. |
. | No information available |
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Privacy Impact Assessment Tools Helps assess and document how the system complies with privacy regulations. |
. | No information available |
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GDPR/CCPA Support Supports requirements for European and California data privacy laws. |
. | No information available |
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Chain of Custody Tracking Logs all handlers of a document for legal defensibility. |
. | No information available |
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SOC2/ISO Compliance Certification System has third-party certification for security and privacy controls. |
. | No information available |
User Experience & Accessibility
(0 Yes /0 Known /11 Possible features)
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Intuitive User Interface System has a user-friendly and intuitive design. |
. | No information available |
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Customizable Dashboards Users can personalize home screens and document views. |
. | No information available |
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Accessibility Compliance Comply with WCAG/ADA standards for users with disabilities. |
. | No information available |
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Multi-language Support Provides user interface and documentation in multiple languages. |
. | No information available |
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Mobile Responsive Design Interface works on desktops, tablets, and smartphones. |
. | No information available |
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Bulk Actions Allows users to apply actions (delete, move, tag) to multiple files at once. |
. | No information available |
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Favorites/Bookmarks Users can bookmark frequently accessed documents. |
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Recently Accessed Files Quick access to recently viewed or edited documents. |
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Personalized Notification Settings Users can specify which system alerts or notifications they receive. |
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Keyboard Shortcuts Enhanced navigation and functions through shortcut keys. |
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Offline Access Ability to access documents without internet connectivity. |
. | No information available |
Collaboration & Workflow
(0 Yes /0 Known /10 Possible features)
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Shared Workspaces Create shared folders or spaces for specific teams or projects. |
. | No information available |
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Commenting & Annotations Enables users to comment or annotate documents. |
. | No information available |
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Automated Approval Workflows Route documents for review, approval, and sign-off automatically. |
. | No information available |
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Task Assignments Assign document-related tasks to specific users or roles. |
. | No information available |
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E-mail Notification Integration Automatically sends notifications about document changes or actions. |
. | No information available |
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Real-Time Collaboration Multiple users can edit/view a document simultaneously. |
. | No information available |
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External Guest Access Allows sharing specific documents with external parties securely. |
. | No information available |
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Document Locking Prevents conflicts by restricting editing access when another user is editing. |
. | No information available |
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Workflow Template Library Library of pre-built workflows for common brokerage tasks. |
. | No information available |
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Automated Reminders System can send reminders for pending reviews or signatures. |
. | No information available |
Integration & API
(2 Yes /2 Known /10 Possible features)
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Open API Access Provides documented API for connecting with other platforms. |
Smarsh offers Open API access and details integrations with other platforms. | |
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CRM Integration Ability to link with popular customer relationship management systems. |
CRM integration is supported as explicitly marketed for integration with financial platforms. | |
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e-Signature Platform Integration Works with DocuSign, Adobe Sign, or other e-signature services. |
. | No information available |
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Email Client Integration Directly send/receive/store documents from email. |
. | No information available |
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Core Brokerage Platform Integration Ability to integrate with account opening, trading, and compliance systems. |
. | No information available |
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Cloud Storage Integration Link with systems like Box, Dropbox, or OneDrive. |
. | No information available |
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Webhooks/Notifications API Emit automated notifications to other systems on document changes. |
. | No information available |
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Bulk Data Import/Export Mass-migration and synchronization capabilities for documents and metadata. |
. | No information available |
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Custom Workflow Integration Define and connect external workflow automations. |
. | No information available |
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Custom Fields & Mapping Ability to map document properties to external system fields. |
. | No information available |
Performance & Reliability
(0 Yes /0 Known /9 Possible features)
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System Uptime SLA Guaranteed percentage of system availability. |
. | No information available |
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Document Retrieval Speed Average time to retrieve a document. |
. | No information available |
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Disaster Recovery Capabilities Built-in features for backup and disaster recovery. |
. | No information available |
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Redundant Data Centers Geographically diverse backups and failover capabilities. |
. | No information available |
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Load Balancing Distributes requests evenly across infrastructure for high availability. |
. | No information available |
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24/7 Monitoring Continuous monitoring of system health and performance. |
. | No information available |
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Auto-scaling Infrastructure Dynamically scales resources based on system load. |
. | No information available |
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Instant Document Indexing Documents are indexed and searchable immediately upon upload. |
. | No information available |
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Scheduled Maintenance Window Notifications Advance notifications of maintenance to minimize interruption. |
. | No information available |
Client Communication & Portal
(0 Yes /0 Known /9 Possible features)
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Client Portal Access Secure area where clients can view, upload, and download documents. |
. | No information available |
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Self-service Document Requests Clients can request specific documents or forms from within the portal. |
. | No information available |
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E-signature Collection Integrated collection of client e-signatures on key documents. |
. | No information available |
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Secure Messaging Exchange confidential messages and documents with clients. |
. | No information available |
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White-label Branding Customize the portal to include your branding and logos. |
. | No information available |
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Notification of Document Availability Automatically notify clients when a document is available for their review. |
. | No information available |
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Privilege Differentiation Set different access levels for clients (e.g., view-only, download, upload). |
. | No information available |
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Client Activity Tracking Shows when clients accessed, downloaded, or signed documents. |
. | No information available |
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Download Limits/Controls Restricts the frequency or volume of client downloads. |
. | No information available |
Reporting & Analytics
(0 Yes /0 Known /9 Possible features)
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Usage Analytics Tracks metrics on document access, uploads, and downloads. |
. | No information available |
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Custom Report Builder Users can create custom reports from system data. |
. | No information available |
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Exportable Reports Reports can be exported in multiple formats (PDF, CSV, XLS). |
. | No information available |
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Document Access Reports Shows who accessed documents and when. |
. | No information available |
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Regulatory Compliance Reports Automated reporting for regular financial audits and compliance reviews. |
. | No information available |
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Trend Analysis Identifies usage patterns over time. |
. | No information available |
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Real-time Dashboards Instantly updated dashboards with key document and usage statistics. |
. | No information available |
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Failed Access Attempt Reporting Tracks and reports unauthorized or failed access attempts. |
. | No information available |
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Automated Scheduled Reports Delivers reports on a configurable schedule to selected users. |
. | No information available |
Client Onboarding & Account Management
(0 Yes /0 Known /10 Possible features)
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Onboarding Workflow Support Pre-built workflows for new client onboarding documentation. |
. | No information available |
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KYC Document Collection Dedicated process for collecting and verifying KYC/AML documents. |
. | No information available |
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Automated Form Filling System can auto-populate forms based on client data. |
. | No information available |
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Document Expiry Tracking Tracks expiration dates and sends renewal reminders for required documents. |
. | No information available |
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Change-of-Address Automation Facilitates the update of client records and documents when address changes are made. |
. | No information available |
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Account Closure Documentation Automates collection and filing of documents required to close accounts. |
. | No information available |
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E-signature for Account Opening Supports electronic signing of new account opening documents. |
. | No information available |
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Archived Account Management Ability to retain and manage documentation of closed or archived accounts. |
. | No information available |
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Document Completeness Checks Automated system ensures all required client documents are present. |
. | No information available |
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Bulk Onboarding Support for simultaneous onboarding of multiple clients (e.g., corporate accounts). |
. | No information available |
Maintenance & Support
(2 Yes /2 Known /10 Possible features)
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24/7 Technical Support Round-the-clock access to technical helpdesk. |
Smarsh provides 24/7 technical support for enterprise clients. | |
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Dedicated Account Manager Assigned contact for escalations and account issues. |
. | No information available |
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Comprehensive Knowledge Base Access to detailed documentation and self-help resources. |
Comprehensive user documentation and self-help resources are available via the Smarsh portal. | |
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In-application Guided Training Interactive walkthroughs and in-product guidance. |
. | No information available |
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Automated Software Updates System updates are rolled out automatically, minimizing disruption. |
. | No information available |
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Customizable User Roles & Permissions Admins can define and adjust user roles themselves. |
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System Health Dashboard Real-time visibility into system status. |
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Incident Response Time Average time to respond to support tickets. |
. | No information available |
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User Feedback Mechanism Users can submit feature requests or report issues directly from the interface. |
. | No information available |
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Update Release Notes Detailed notes accompany each system update. |
. | No information available |
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