Blogs

Every RIA examiner request starts the same way: produce the emails. Choosing between Smarsh, Global Relay, and Microsoft for compliance email archiving comes down to how much retrieval, supervision, and eDiscovery work you want your archive to handle on its own versus how much your compliance team will manage manually.

The SEC requires that your firm preserve email communications for up to six years, and that data must be stored in a format that cannot be altered or deleted, commonly known as WORM (write once, read many).

Comparing Global Relay vs Smarsh for RIAs and broker-dealers. Compliance, archiving, pricing, and what to choose for your firm.

RIA email archiving guide: SEC and FINRA requirements, top archiving solutions, and best practices to stay audit-ready year round.