Social Media Archiving for Broker-Dealers

Smarsh Social Media Archiving

Capture and Preserve  |  Control and Enforce  |  Search  |  Supervise  |  Produce

Capture and Preserve 

• Establish controls | Define and enforce which features on social networking sites that employees can access.
• Pre-review/Moderation | Review, approve and reject messages before they are posted.
• Policy Enforcement | Enforce corporate policies governing the use of social networking websites. 
• Brand Management | Manage your brand's presence on social networking sites.

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Search 

Administrators can search across their email and electronic message archives based on virtually any criteria, either ad-hoc or on a consistent, systematic basis.

• Robust field search | Smarsh indexes the entire electronic message, and enables search by Boolean combinations of virtually every associated field, including: network, message body, sender, recipient, post type (status update, tweet, comment, etc.) and message date and time.
• Saved searches | Save search criteria and repeat searches for convenience, consistency and evidence of policy enforcement.
• E-discovery searches | Run robust ad-hoc discovery searches for one-time instances.
• Support for multiple lexicon lists | Clients can customize company-approved lexicons of keywords/phrases for search and/or start with a default list provided by Smarsh.
• Multiple social media networks and screen names | Search traffic of multiple social media networks per employee.

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Supervise 

Your supervision procedures are not at the mercy of inflexible technology. Customize your firm's supervision experience for optimal efficiency in message review and effectiveness in identifying and mitigating risk. 

• Hierarchy structure | Permission-based review hierarchy can be configured to model the review structure of your organization. Administrators can assign message supervision roles/authorities to specific users and groups, and grant the appropriate level of access/functionality to them. Smarsh can grant temporary permissions or access to compliance consultants, outside legal counsel or other individuals.
• Run saved searches | Execute review procedures with regularly scheduled saved searches.
• Flexible search options | Match search type (random percent, risk score, keywords or phrases) to risk profile.
• Contextual review | Track the entire thread of a social media post from multiple individuals, giving a conversation context during review.
• Full audit review | Every administrator session and action taken throughout the entire lifecycle of a message is documented within the Smarsh Management Console.
• Take action on messages | Reviewers have the ability to annotate, flag, open/close or escalate messages. All actions are logged and the subsequent metadata is indexed and searchable.
• Reporting Center | Produce analytics reports on corporate social media usage, system audit history and social media archive data. Demonstrate policy enforcement and ensure accountability among multiple managers responsible for message review. Reports can be customized.

Produce 

Administrators can retrieve and produce as many messages as necessary, in original form, on demand. 

• Production options | Content can be securely downloaded to a PC or encrypted and saved to a portable media device. This can be utilized for real-time access to data during an investigation or examination, or to restore data for disaster recovery purposes.
• Flexible e-discovery export | Export message data in popular e-discovery vendor “load file” formats (and the Electronic Discovery Reference Model (EDRM) XML Interchange Format Schema) and transfer it directly to document review and processing systems.
• Monthly DVD service | As part of its service package, Smarsh delivers monthly copies of client data via encrypted DVD.

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