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Smarsh Empowers ProEquities to Leverage Social Media
|By Business Wire
|August 12, 2014 04:15 PM EDT
the leading provider of hosted archiving solutions for compliance and
e-discovery, today announced it has been selected by ProEquities,
Inc. to provide LinkedIn,
archiving services. Smarsh enables ProEquities, a service and
growth-oriented broker-dealer for independent registered representatives
and financial advisors throughout the 50 states, to meet the needs of
its advisors and its IT and compliance departments.
ProEquities prides itself on providing full-service support for its
financial advisors. 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. ProEquities Director of
Marketing Ellen Michael engaged with her compliance and IT departments
and, together, they determined that Smarsh offered the best solution to
meet their individual and collective needs.
The ProEquities compliance team is confident that, with Smarsh, the
company meets the retention and supervision requirements of the
Securities and Exchange Commission (SEC) and Financial Industry
Regulatory Authority (FINRA) without piling hours of work onto staff.
“We needed to explore and understand how adding social media would
impact our supervision workload,” said James Brangle, senior compliance
officer for ProEquities. “Our compliance department had an established
set of compliance procedures and processes, and the Smarsh user
interface fit well with our workflows.”
Because ProEquities’ IT department was tasked with implementation, it
required a seamless migration to the Smarsh platform. The IT team needed
reassurance that the implementation and maintenance of the solution
would not place a burden on staff or existing systems.
“The implementation was a very collaborative process,” said Marion
Yester, technology support manager for ProEquities. “Smarsh worked
closely with us to ensure all stakeholder needs were met.”
Marsh, CEO of Smarsh, said he is proud to work with companies like
ProEquities that are leading the charge in financial services by
responsibly implementing new communications channels.
“Our recent electronic
communications compliance survey reveals the number of electronic
messaging channels firms allow employees to use for business purposes
has nearly doubled in the past three years,” said Marsh. “ProEquities
provides a great example of a broker-dealer that listens to its advisors
and provides solutions for their needs, but also approaches its
retention and supervision requirements thoughtfully and thoroughly.”
“The beauty is the advisors don’t need to know about Smarsh. They do not
have to think about it,” added Michael. “Smarsh helps our compliance
team turn a complex and challenging part of our business into something
the advisors just don’t have to worry about.”
For more information about ProEquities’ experience with Smarsh, download
the case study, Multiple
Stakeholders Work Together To Provide Advisors Social Media at www.smarsh.com.
Smarsh® delivers cloud-based archiving solutions for the
information-driven enterprise. Its centralized
platform provides a unified compliance and e-discovery workflow
across the entire range of digital
communications, including email,
and enterprise social media, websites,
messaging and mobile
messaging. Founded in 2001, Smarsh helps more than 20,000
organizations meet regulatory compliance, e-discovery and record
retention requirements. The company is headquartered in Portland,
Oregon, with offices in New York City, Atlanta, Boston, Los Angeles and
About ProEquities, Inc. (www.proequities.com)
ProEquities, Inc., is a service and growth-oriented broker-dealer
founded in 1985 for independent registered representatives and financial
advisors throughout the 50 states. ProEquities focuses on serving the
financial advisor who wants to be independent from a “wire house”
environment but seeks a true partnership with an organization that can
assist an advisor with a myriad of support functionalities.
Our 1,075 financial advisors maintain contractual freedom without
proprietary constraints or product quotas. Our integrity is one of our
greatest assets. We practice an open-book philosophy with our advisors,
which means all processes are transparent.
Proactive, innovative, and relationship-centered, ProEquities knows each
advisor is different. ProEquities promises to listen, think, and respond
to each individual in a way that helps each advisor realize their goals
and the dreams of the advisor’s clients. We like to think of ourselves
as a young, nimble organization which just happens to have over a
quarter of a century’s experience.
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