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Smarsh, a provider of hosted archiving solutions for compliance and e-discovery, reports that it has been selected by ProEquities, a broker-dealer for independent registered representatives and financial advisors, to provide it with LinkedIn, Facebook, Twitter and email archiving services.
The services will enable ProEquities to meet the needs of its advisors and its IT and compliance departments, Smarsh says in a statement.
“Our recent electronic communications compliance survey reveals [that] the number of electronic messaging channels firms allow employees to use for business purposes has nearly doubled in the past three years,” Steven Marsh, Smarsh’s founder and CEO, points out.
“Marketing via social media is critical for today’s financial professionals, and allowing the use of LinkedIn, Facebook and Twitter for its advisors was a priority” for ProEquities, according to Smarsh’s statement.
The ProEquities compliance team is confident that Smarsh’s services will help the firm meet the retention and supervision requirements of the SEC and Financial Industry Regulatory Authority (FINRA) “without piling hours of work onto staff,” say Smarsh officials.
“Our compliance department had an established set of compliance procedures and processes, and the Smarsh user interface fit well with our workflows,” James Brangle, senior compliance officer for ProEquities, says in a prepared statement.
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- LinkedIn,
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- facebook,
- social media
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