Learn how ValMark Securities, Inc. worked with Smarsh for better archiving and compliance to meet regulatory obligations and be prepared for e-discovery events.

1. Case Study: ValMark Chooses Smarsh to Archive for Compliance
and E-Discovery

2. COMPANY PROFILE
 ValMark Securities, Inc. provides integrated broker-dealer services
for more than 100 Member Offices or branches across the United
States.
 As a broker-dealer, ValMark is required to supervise and maintain all
business communication records for each of its Member Offices.
Regulators include the Financial Industry Regulatory Authority
(FINRA), the Securities and Exchange Commission (SEC), the
National Association of Insurance Commissioners (NAIC) and state
insurance regulators.
SUCCESS STORY

3. THE CHALLENGE
 ValMark has no centralized IT management and over 100
independent branches using various email platforms. Archiving was
creating help desk issues for the IT staff and uncertainty for the
compliance team.
 The firm’s legacy archiving solution was unable to accommodate the
complexity of the firm’s supervisory needs—the archiving was
inconsistent and customer support was unresponsive.
SUCCESS STORY

4. THE SOLUTION
 ValMark had three primary requirements for a better archiving solution:
 Better monitoring and supervision capabilities, including the ability to set up real-time
alerts and custom archive reporting.
 Responsive, available customer service.
 Ability to easily integrate social media archiving with email archiving.
SUCCESS STORY

5. SUCCESS STORY
 Smarsh offers ValMark the ability to set up custom reporting to ensure
that there are no interruptions in archiving.
 Customer service was responsive and informative, ensuring a smooth
migration process.
 Compliance team now has confidence in the reliability of its archiving
process across all of its branch locations.
 Employees at branch offices can effectively search their own mailboxes
for specific incidents—acting as an e-discovery solution for the firm, as
well.
SUCCESS STORY

6. “The evaluation process
was short and sweet. The
Smarsh solution met all of
our search criteria, and
that made the choice easy.
Lynn Goebel
Chief Compliance Office, ValMark
“The Smarsh Archiving
Platform enhances our
ability to perform searches
and find what we need
across email and social
media, so it acts as an e-
discovery and compliance
“Smarsh provided detailed
reports and regular updates
during the migration, so we had
full visibility to all of our
branches. We knew exactly what
was happening at all times
during the implementation.”
Geoffrey Moore
VP of Information Technology, ValMark
SUCCESS STORY

7. THE ARCHIVING PLATFORM
EMAIL IM SOCIAL MOBILE WEB

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