Meritas Investment Corp and Smarsh--Real World Solutions for Email Archiving and Compliance

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The Challenge

Ameritas Investment Corp. (AIC), a UNIFI company, is a full-service broker/dealer with over 1,500 registered representatives and financial advisors nationwide. “We needed a hosted archiving vendor to partner with AIC to not only meet important regulatory requirements, but also meet the business needs of our financial advisors,” explains Cheryl Heilman, vice president and chief operating officer of AIC. “We focused on finding a cost-effective, easy-to-use solution that would enable us to proactively manage and respond to the growing challenges of electronic communications.”

The Solution

AIC chose Smarsh to provide email services after working with another hosted archiving provider for more than four years. In addition to email archiving and compliance, AIC implemented the Smarsh automated email supervision engine, the Virtual Compliance Officer, and the Smarsh secure messaging platform, smarshEncrypt.

The Customer Rave

“One of the key advantages of the Smarsh platform comes in the form of security. Smarsh offers a robust yet flexible feature set for safeguarding information,” says Micah McCann, AIC technology manager. “Automated email encryption and the restriction of non-secure ports on email clients such as Outlook provide additional protection without sacrificing business efficiencies. This is a tangible benefit to our firm and our advisors.”

What It Does

Smarsh helps clients like AIC compile regulatory audit track records and surpass the standards within the email compliance mandates of both the Securities and Exchange Commission (notably rules 17a-3, 17a-4 and 204-2) and the Financial Industry Regulatory Authority (3010 & 3011).

All services within the Smarsh integrated suite are centrally administrated through a secure Web-based platform. System administrators can review electronic communication, implement and enforce classification, data-leak prevention and encryption policies and analyze these policies within the customizable reporting center.

Last Word

“Customer support and reliable service are core foundations of our business,” states Stephen Marsh, founder and CEO of Smarsh. “We take pride in easing the burden of our customers as they migrate and manage growing volumes of email data on the Smarsh hosted platform.”