Hedge Fund Compliance
• Promote investor confidence with a demonstrative commitment to transparent operation, regulatory compliance and data security.
• Take a proactive approach to managing your electronic data, and save time and money in e-discovery, litigation and investigations.
• Offload the costs and operational burden of managing complex and disparate messaging applications.
Meet Your SEC compliance obligations with the Smarsh Hosted Email Archiving Platform, designed to…
• Help clients navigate SEC electronic records retention, supervision & data protection obligations.
• Prepare you for SEC examinations or requests with on-demand data production.
• Preserve all electronic messages and store securely on tamper-proof media for their designated retention period(s).
• Automate and streamline email supervision procedures.
• Document supervisory procedures with detailed audit trails.
• Enforce governance policies for organizational use of email, social media, instant messaging, text messaging, Bloomberg and other electronic communication platforms.
Relevant Smarsh Solutions…
• Email Archiving
• Virtual Compliance Officer
• Social Media Compliance
• Instant Messaging
• Mobile Message Archiving
• Bloomberg Integrity Archiving
The Dodd-Frank Wall Street Reform and Consumer Protection Act was signed into law by President Obama in July 2010. The Private Fund Investment Advisers Registration Act, Title IV of Dodd-Frank, will eliminate the private adviser exemption afforded by Section 203(b)(3) of the Advisers Act.
Most managers of hedge funds and private equity funds will need to register as advisers with either the SEC or one or more state regulatory authorities.
As an SEC-registered adviser, your firm will be required to implement new policies, procedures and technology to address a series of new regulations. You will need to archive email and electronic communications in accordance with regulation 204-2 of the Investment Advisers Act of 1940.
Learn More About Electronic Messaging
Compliance Obligations and Technology Solutions
The Dodd-Frank Bulletin is your reference guide to SEC email and electronic messaging compliance. Read more information on the specific rule, SEC 204-2, that will apply to you when the Dodd-Frank Wall Street Reform and Consumer Protection Act is enforced. Download this invaluable guide today!
Click to download the Osterman Research whitepaper Convincing Decision Makers of The Critical Need for Archiving. It demonstrates how email archiving can provide hard cost savings for an organization, as well as how the strategic implementation of an archiving solution can reduce a company’s operational costs and pay for itself.
Osterman Research conducted a survey consisted of respondents who are currently using a hosted email archiving platform. See how hosted vendors compared in 14 different categories in Results of a Survey on SaaS-Based Archiving. Download this whitepaper today!
Click to download the Companion Guide to FINRA/SEC Social Networking Compliance. It provides a summary of the key FINRA and SEC rules relevant to social media compliance. In addition, we’ve shared specific social network considerations and recommendations on how to participate with these networks in a compliant fashion.
Check out Convincing Decision Makers of The Critical Need for Encryption and learn about the benefits of implementing an encryption solution, including the ability to avoid negative consequences and the advantages it can offer in generating new business.
The Trusted Leader in
Email Archiving & Compliance
Hedge fund managers and private equity firms that will need to register as advisers with the SEC should turn to an archiving and compliance provider that knows their industries best. Since 2001, Smarsh has helped clients through thousands of successful regulatory audits and e-discovery requests, and provided best practices and insight to new firms registering with the SEC or encountering compliance mandates for the first time. The company has built its reputation by handling the sophisticated archiving and SEC/FINRA compliance needs of the financial services industry, including some of the largest and well-known private equity firms and hedge funds in the world.
Smarsh provides hosted solutions for archiving electronic communications, including email, IM and social media platforms such as Facebook, LinkedIn and Twitter, and leads as more record-keeping and compliance obligations (such as email encryption) emerge.
Smarsh understands the dynamic regulatory environment, and our team of customer support engineers will be alongside and available to help you navigate these challenges. Smarsh will make it easy for you with an intuitive system, seamless integration, on-demand data production, fast searches and hands-on training and support.




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