Actiance Supervision

Identify risk faster and more e ectively

Financial Services ﬁrms connect with clients over a variety of channels such as IM, chat, LinkedIn, Symphony, Slack, and Microsoft Skype for Business. However, many still rely Key Features on outdated supervisory review tools that were designed solely for email. This results in longer review queues, higher Expressive policies to reduce false positives false positive rates, and less time devoted to resolving real compliance issues. Collaborative workspace for Google-like review experience

Actiance Supervision provides: Intelligent Circuit Breakers to manage review volume

· TrueComplianceTM (full binary, near-native form) capture of Self-service, customizable reporting and analytics 80+ communications channels, while preserving full con- dashboards versational context

· Moderated supervisory pre-review of Facebook, LinkedIn, Twitter, and enterprise social networks

· High-speed search and ﬁltering of full conversational snapshots across all communications channels

· Random sampling and lexicon-based supervision of policies deﬁned globally or by network, location, group, or user

· Reduced false positive rates through expressive policies that can be applied globally or uniquely to each communications channel

To learn more, contact an account executive at (888) 349-3223 or at [email protected]

www.actiance.com Actiance Supervision:

Identify Risk Faster and more E ectively

“Actiance is well-suited for enterprises with the most complex regulatory challenges”

- Gartner Enterprise Archiving Magic Quadrant, 2016

Impactful Beneﬁts

Conﬁgurable supervisory workﬂows and escalation to meet an organization’s unique requirements

Complete APIs to integrate with trade, voice, and behavioral analysis tools for comprehensive compliance surveillance

Increased regulatory response time with sustainably fast search, review, and ﬁltering

Additional Features

Rich policy management for multi-national, regional, and country-speciﬁc supervisory requirements from FINRA, IIROC, FCA, and MiFID II, and more

Active ComplianceTM controls to enable feature control, message blocking, real-time blocking and alerting, data loss prevention, and management of ethical walls

SEC 17a-4 compliant immutable data storage

Actiance Supervision Actiance Supervision provides highly regulated or litigious organizations the ability to continuously scan all communications and create custom detection filters. Once alerts are generated, a flexible case-management style workflow allows for disposition of issues with the fewest clicks possible.

Investigative searches can be performed using Google-like facet ﬁltering across all content while preserving the original view and context in the source system. Lastly, proof of supervision and user-deﬁned reports and dashboards can be built by Reviewers using a wide selection of data points.

WEB AND SOCIAL MEDIA ARCHIVING FROM THE MARKET LEADER

Engage your clients and prospects in their preferred channels — HELP YOUR including the Web, Facebook, Twitter, LinkedIn and YouTube. ORGANIZATION The communications landscape for financial services and other regulated industries is changing rapidly. Your competitors, clients and prospects are Preserve and supervise actively using social media and web-based content to connect and grow their both static and interactive business. While there are regulations and compliance obligations, they need communication. not be a barrier to marketing innovation. Capture and preserve the Technology from Smarsh gives marketing and compliance professionals the full Web experience. confidence to communicate anytime and anywhere, knowing that they can fulfill their electronic recordkeeping and supervision obligations. Leverage Smarsh experience to customize the right Use social media with confidence. enforcement processes for

Smarsh compliance and e-discovery solutions for social media and Web your business. content enable your Replace inefficient firm to thoroughly and and manual website efficiently navigate the various social preservation processes. media and customer Efficiently meet communications e-discovery obligations. guidance provided by FINRA, the SEC, the FCA and other regulatory bodies.

Contact an account executive to learn how we can help you enable digital communications compliance within your organization at www.smarsh.com LinkedIn. Blogs. YouTube. Email Blasts. You want to use social media and the Web to market your firm. Smarsh makes compliant digital marketing possible.

FEATURES

SAFE, SECURE SOCIAL MEDIA AND WEBSITE ARCHIVING Archiving does not disrupt or impact how individuals interact with each social network. Direct data ingestion through API connections with each social network. Social conversations are captured regardless of a user’s device location or network. Archive a single Web page, or capture your entire website and linked third-party content. Each archived file is time-stamped and stored unaltered in its original format.

FAST, POWERFUL SEARCH A complete, accurate website archive is searchable and easy to produce for regulatory audits. Search universally across people, keywords and content types from a single interface. Fully threaded conversation view allows the reviewer to ascertain the full context of the message.

DESIGNED FOR COMPLIANCE AND E-DISCOVERY Smarsh addresses FINRA, SEC and FCA compliance requirements, such as data storage on tamper-proof media and independent third-party attestation. Email updates automatically summarize changes on any page being archived, including third-party sites. Messages are preserved in the secure, geographically-dispersed Smarsh-owned data centers. Everything is saved to WORM (write once, read many) optical storage. Maintain a full audit trail of all actions taken in the Archiving Platform.

THE ARCHIVING PLATFORM

The Archiving Platform by Smarsh is a leading, cloud-based, comprehensive archiving platform supporting a broad range of content types, including: email, instant and text messages, web, video and social media. Core features include immutable retention of all archived content in an indexed and search-ready state, policies, cases and admin/reporting functions.

Founded in 2001, Smarsh helps more than 20,000 organizations meet regulatory compliance, e-discovery and record retention requirements. The company is headquartered in Portland, Ore. with offices in New York City, Atlanta, Boston, Los Angeles and London.

Find out more today at www.smarsh.com