Case Study: ValMark Chooses Smarsh to Archive for Compliance and E-Discovery

COMPANY PROFILE ValMark Securities, Inc. provides integrated broker-dealer

services for more than 100 Member Offices or branches across the United States.

As a broker-dealer, ValMark is required to supervise and maintain all business communication records for each of its Member Offices. Regulators include the Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC), the National Association of Insurance Commissioners (NAIC) and state insurance regulators.

SUCCESS STORY

THE CHALLENGE ValMark has no centralized IT management and over 100

independent branches using various email platforms. Archiving was creating help desk issues for the IT staff and uncertainty for the compliance team.

The firm’s legacy archiving solution was unable to accommodate the complexity of the firm’s supervisory needs—the archiving was inconsistent and customer support was unresponsive.

SUCCESS STORY

THE SOLUTION ValMark had three primary requirements for a better archiving

solution: Better monitoring and supervision capabilities, including the ability to set up

real-time alerts and custom archive reporting.

Responsive, available customer service.

Ability to easily integrate social media archiving with email archiving.

SUCCESS STORY

SUCCESS STORY Smarsh offers ValMark the ability to set up custom reporting to

ensure that there are no interruptions in archiving. Customer service was responsive and informative, ensuring a

smooth migration process. Compliance team now has confidence in the reliability of its

archiving process across all of its branch locations. Employees at branch offices can effectively search their own

mailboxes for specific incidents—acting as an e-discovery solution for the firm, as well.

SUCCESS STORY

“The evaluation process was short and sweet. The Smarsh solution met all of

our search criteria, and that made the choice easy.

Lynn GoebelChief Compliance Office, ValMark

“The Smarsh Archiving Platform

enhances our ability to perform searches

and find what we need across email

and social media, so it acts as an e-discovery and

compliance tool.”

“Smarsh provided detailed reports and regular updates

during the migration, so we had full visibility to all of our

branches. We knew exactly what was happening at all times

during the implementation.”

Geoffrey MooreVP of Information Technology, ValMark

SUCCESS STORY

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