Similar to Finra Rule 4511, SEC Rule 204-2 is the main books and records rule for SEC-registered investment advisers under the Investment Advisers Act of 1940. It requires advisers to…
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Finra Rule 4511 is the general recordkeeping rule for broker-dealers. Generally speaking, it is know as the “books and records” rule because it notes that you must make and preserve…
SmartHUB is a cloud-native digital archiving solution that supports books and records rules across jurisdictions. Key traits of SmartHUB that matter for compliance include: High-volume, long-term archiving of customer communications…
SmartHUB integrates seamlessly with SmartCOMM and SmartIQ to enable secure, compliant archiving of high volumes of personalized communications across the full customer journey.
SmartHUB includes automated document lifecycle management features designed to simplify compliance and reduce human error. The system applies retention rules based on document type, jurisdiction, and/or metadata, and can automatically…
Yes. SmartHUB features a robust RESTful API and offers seamless integration with systems like ERP, CRM, CCM, billing, and customer service platforms. This allows organizations to streamline workflows, reduce manual…
Absolutely. SmartHUB is engineered for enterprises managing millions of documents across thousands of users. It supports batch ingestion, on-demand uploads, and high-volume migrations without compromising performance. The solution grows with…
Yes, SmartHUB is built with compliance at its core. It meets the requirements of GDPR, ISO standards (such as 14641 for electronic archiving), and WCAG accessibility guidelines. The system includes…
Document retrieval in SmartHUB is instant, intuitive, and secure. The solution is designed for high-speed access, whether through advanced search features or integration into user-facing portals. Users can locate documents…
SmartHUB is purpose-built for high-volume, compliant archiving—unlike legacy ECM systems that are costly, complex, and not optimized for scale. While ECMs focus on document editing and versioning, SmartHUB ensures immutability…