email archiving for sec and finra compliance

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Email Archiving for SEC and FINRA Compliance Kenmar Olympia Success Story

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"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.

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Page 1: Email Archiving for SEC and FINRA Compliance

Email Archiving for SEC and FINRA ComplianceKenmar Olympia Success Story

Page 2: Email Archiving for SEC and FINRA Compliance

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.

SUCCESS STORY

Page 3: Email Archiving for SEC and FINRA Compliance

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

SUCCESS STORY

Page 4: Email Archiving for SEC and FINRA Compliance

THE SOLUTIONSmarsh 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

SUCCESS STORY

Page 5: Email Archiving for SEC and FINRA Compliance

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

SUCCESS STORY

Page 6: Email Archiving for SEC and FINRA Compliance

“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 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.”

SUCCESS STORY

“We can use keywords and logic to weed

things out.

It’s a key feature and helps

streamline the review process.”

Page 7: Email Archiving for SEC and FINRA Compliance

THE ARCHIVING PLATFORMEMAIL IM SOCIAL MOBILE WEB VOICE

Page 8: Email Archiving for SEC and FINRA Compliance

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