ProEquities is a service and growth-oriented broker-dealer that’s home to independent financial advisors and registered reps across the United States. Meeting the needs of the independent advisor is a key priority for the organization, and Director of Marketing Ellen Michael frequently heard from her representatives that they wanted to use social media sites like LinkedIn, Facebook and Twitter to connect more with clients and prospects. In order to provide this service to advisors, Michael knew she needed to involve the firm’s compliance and IT departments. ProEquities is required to meet the social media retention and supervision regulations set forth by the Financial Industry Regulatory Authority and the Securities Exchange Commission. The regulations require all electronic communications, including social media, to be retained, monitored and available for production when requested. ProEquities needed a solution that would help support the company’s compliance efforts and requirements across all departments, including marketing and IT, without piling hours of work onto staff or complicating the business mission. Read the case study: Social Media for Financial Advisors to learn how Smarsh helped ProEquities solve a complex challenge to the benefit of its advisors. Visit our website to discover more information on social media compliance for financial advisors: http://www.smarsh.com/social-media-compliance.

1. Case Study: Social Media for Financial Advisors
Smarsh helps the ProEquities compliance team supervise more communication with less effort

2. COMPANY PROFILE
 ProEquities, Inc. was founded in 1983 as a home for independent
registered representatives and financial advisors in all fifty states.
 A proactive, growth-oriented organization, ProEquities focuses on
serving the financial advisor who wants to be independent from a
“wire house” environment.
SUCCESS STORY

3. THE CHALLENGE
 Provide independent advisors with expanded, modern communication
capabilities, including social media such as LinkedIn, Facebook, and
Twitter.
 Ensure burden on personnel and existing systems in the IT and
compliance departments was kept to a minimum.
 Provide efficient oversight from the compliance department while
meeting industry recordkeeping and supervision requirements set
forth by the Financial Industry Regulatory Authority (FINRA) and the
Securities and Exchange Commission (SEC).
SUCCESS STORY

4. THE SOLUTION
 Archiving for email, LinkedIn, Twitter, and Facebook.
 Smarsh
 Trusted compliance provider with deep understanding of records retention
and compliance regulations.
 Easy-to-use, flexible platform that enables extension of supervision
policies across multiple content types.
 Engaged and responsive customer service.
 Cloud-based solution reduces burden on IT resources.
SUCCESS STORY

5. SUCCESS STORY
 ProEquities advisors leverage social media without overburdening the
compliance or IT staff.
 Smarsh Archiving Platform facilitates fast, simple and effective
compliance review across email and social media.
 Archiving Platform is tailored to the ProEquities compliance review
structure.
 Smarsh Implementation team was responsive and easy to work.
SUCCESS STORY

6. “Smarsh helps our
compliance team turn a
complex and challenging
part of our business into
something the advisors
just don’t have to worry
about.”
Ellen Michael
Director of Marketing, ProEquities
SUCCESS STORY
“With Smarsh, our email
and social media review is
more efficient.”
“Smarsh presented us with
solutions we can depend on.”
James Brangle
Senior Compliance Officer,
ProEquities
Chris Shaw
Chief Information Officer, ProEquities

7. THE ARCHIVING PLATFORM
EMAIL IM SOCIAL MOBILE WEB VOICE

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