Case Study: Ohio National Equity Sales Company (ONESCO) achieves compliant social media adoption and stronger oversight with Smarsh

Ohio National Broker-Dealer Leads the Way on Social Media, Strengthens Compliance Initiatives

O.N. Equity Sales Company (ONESCO), the Ohio National broker-dealer supporting more than 700 financial representatives, wanted to enable advisors to use social media for business without creating compliance risk. Management prioritized adoption but needed a reliable retention and oversight solution to meet regulatory and archiving requirements.

ONESCO extended its existing Smarsh Professional Archive from email to social media, launched a FINRA-aligned pilot, and now reviews thousands of communications monthly through Smarsh. Adoption grew quickly, auditors found ONESCO’s policies and procedures sound, record retrieval is fast and efficient, and the compliance team gained stronger supervision and confidence.

Ohio National Equity Sales Company (ONESCO)

Lonny Elfenbein

Compliance Consultant