"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.

1. Email Archiving for SEC and FINRA Compliance
Kenmar Olympia Success Story

2. SUCCESS STORY
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.

3. SUCCESS STORY
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

4. SUCCESS STORY
THE SOLUTION
Smarsh 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

5. SUCCESS STORY
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

6. SUCCESS STORY
“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 can use
keywords and logic
to weed things out.
It’s a key feature
and helps
streamline the
review process.”
“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.”

7. THE ARCHIVING PLATFORM
EMAIL
IM
SOCIAL
MOBILE
WEB
VOICE

8. Want to see more?
Visit our website
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Phone: 1-866-762-7741
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