Case Study: ValMark achieves reliable compliance and streamlined e-discovery with Smarsh

ValMark Chooses Smarsh to Archive for Compliance and E-Discovery

ValMark Securities supports more than 100 independently owned Member Offices and must centrally supervise communications to meet FINRA, SEC, NAIC and state insurance requirements. With each branch running its own email systems and no centralized IT, ValMark faced inconsistent archiving, functionality and support gaps with its previous vendor that created missed emails and compliance risk.

ValMark engaged Smarsh, which worked directly with each branch for a smooth migration and provided detailed reporting, real‑time alerts, customizable supervision and integrated social media archiving. The outcome was continuous, auditable archives and improved e‑discovery and search across channels, giving ValMark greater compliance confidence while reducing the compliance team’s workload.

Valmark

Lynn Goebel

Chief Compliance Officer