Smarsh Enhances Dashboards for Digital Communications Oversight

Chris Latham, Deputy Managing Editor, Wealth Solutions Report

Digital Communications Oversight Technology Provider Smarsh Launches Professional Archive Dashboard Enhancements To Make Compliance Easier, Faster, More Intuitive

Smarsh, a digital communications compliance and intelligence provider for organizations including financial services firms, launched a series of enhancements to its Professional Archive dashboards that are intended to make compliance oversight easier, faster and more intuitive for RIAs and broker-dealers.

The first set of enhancements, in Smarsh’s Archive and Reviewer Activity Dashboards, are available now. The next set of enhancements, in its Policy and Queue Dashboards, are scheduled to roll out in the spring. Smarsh serves more than 6,500 customers worldwide, including global financial institutions and multinational investment banks, by providing tools that monitor everything from emails and smartphone texts to social media posts and business application messages.

“Recent developments such as the Marketing Rule reinforce the requirement of wealth management compliance professionals to demonstrate supervision activity to regulators,” Sheldon Cummings, General Manager of the Corporate Business Unit at Smarsh, said in the press release. “The new Professional Archive dashboards will help solve these challenges by making compliance easier for everyone at no additional cost, thanks to a unique suite of tools that do not exist anywhere else.”

The enhancements involve several automatic features. These include enabling users to find and review data with customized alerts, filtering and user-defined thresholds; have reports sent directly to their inbox before logging in to do deeper analysis; and respond to management requests, potentially minimizing back-and-forth communications between management and personnel at wealth management firms.

Archive Dashboard allows users to filter by date, channel and feed. Reviewer Activity Dashboard allows users to view and understand metrics related to the amount and type of data that has been checked. Policy Dashboard will allow users to analyze data on communications that violate a firm’s lexicon rules. Queue Dashboard will allow users to analyze performance trends for review teams.

Cummings, who recently joined the company, oversees the RIA and independent broker-dealer unit. He has over 25 years of experience serving small and midsized firms, previously as Chief Operating Officer for Mailchimp, Vice President of Sales at Intuit, and in Director positions at Kraft Foods and Mondelēz International.

Chris Latham, Deputy Managing Editor at Wealth Solutions Report, can be reached at

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