Communication Archiving

Principal workflows

• Capture: Moraph connects Smarsh to each approved communication channel, confirms that messages from every in-scope user arrive, and checks capture every day so a broken connector is found and fixed quickly.
• Retain: Retention periods, legal holds and storage settings are configured in Smarsh to match your record retention schedule, and every change goes through a recorded change request approved by your records owner.
• Supervise: Smarsh applies the lexicon and policy rules your compliance team approves and queues flagged messages for review. Your reviewers decide on each message; Moraph tunes policies on request and reports on review backlog.
• Produce: When a regulator, auditor or counsel asks for communications, your authorized staff search and export from Smarsh, and Moraph helps scope the search, run large exports and document how the production was made.

Who uses it

• Chief compliance officers at broker-dealers, investment advisers and futures firms
• Supervisory principals and compliance analysts who review flagged communications
• Records management and legal teams who handle holds and productions
• IT and messaging teams who own the email and collaboration systems being captured
• Internal audit and examiners, who need evidence that capture and supervision are complete

Reporting

• Daily capture checks by channel and user
• Capture gap incidents with cause, recovery and fix
• Supervision backlog and policy hit rates
• Change requests with requester and approver
• Legal holds and production history
• Quarterly configuration baseline review

Features

• Managed channel capture: Moraph configures and maintains Smarsh capture for email, Microsoft Teams, Slack, Bloomberg, text messaging and other channels you approve and license.
• Daily capture monitoring: Expected and received message volumes are compared every day by channel and user, and drops are investigated as incidents.
• Compliant retention: Smarsh retains captured messages in storage configured to meet SEC Rule 17a-4(f) and the retention periods in your schedule.
• Legal hold management: Holds placed, extended and released on written instruction from your legal team, with each action recorded.
• Supervision policies: Your written supervisory procedures are turned into Smarsh lexicons, policies and sampling rules, reviewed with your compliance team before they go live.
• Policy tuning: Moraph reports on which policies produce flags that reviewers routinely clear, and proposes changes for your compliance team to approve.
• Joiner, mover and leaver handling: New and departing staff are added to or removed from capture and review groups as your HR or identity records change, so coverage follows the population.
• New channel intake: When the business asks to use a new messaging tool, Moraph assesses whether Smarsh can capture it and what configuration is needed, so compliance can decide before it is used.
• Production support: Help scoping searches, running large exports and documenting how a production was assembled for regulators, auditors and counsel.
• Configuration baseline: A documented record of every channel, retention policy, hold and supervision policy, compared each quarter with what is actually configured.
• Exam evidence pack: Capture coverage, retention settings, gap incidents and change history assembled for examiners and internal audit on request.
• Follow-the-sun service desk: Moraph's service desk across our offices takes requests and incidents around the clock, with escalation to Smarsh support where the platform itself is at fault.

Integrations

• Email: Journaling or API capture from Microsoft 365, Google Workspace or on-premises Exchange, configured with your messaging team.
• Collaboration tools: Capture from Microsoft Teams, Slack, Zoom chat and other collaboration tools that Smarsh supports and you license.
• Financial messaging: Capture from Bloomberg and other financial chat networks used by trading and sales staff.
• Mobile and text messaging: Capture of SMS, iMessage and WhatsApp business messages through the mobile capture options Smarsh supports, for firm-managed or approved devices.
• Identity provider and HR: User directory data so capture and review groups follow joiners, movers and leavers, and single sign-on for reviewers.
• Moraph Voice Recording Compliance: Where you also use Moraph's voice recording service, recorded calls and their metadata can be retained alongside written communications.
• Moraph service reporting: Capture checks, incidents and change requests are tracked in Moraph's service tooling and shared in the monthly review.

Deployment

• Smarsh cloud, managed by Moraph: Smarsh hosts the archive; Moraph configures and runs it for you under a managed service agreement.
• Moraph-managed with your existing Smarsh licenses: If you already license Smarsh, Moraph can take over configuration and operations, subject to Smarsh's terms.
• Alongside other Moraph services: Run with Moraph's Voice Recording Compliance, Data Loss Prevention or Mobile Device Management services so channels are governed together.

Security and privacy

• Single sign-on: Your staff and Moraph's staff sign in through identity providers with multi-factor authentication, and access is removed when people leave.
• Role-based access: Reviewers see their review groups, legal sees holds and productions, and Moraph's service team sees configuration rather than content.
• Logged content access: Every search and export of message content, by your staff or ours, is recorded with the person, time and request it served.
• Controlled privileged access: Moraph staff use administrative access only for approved work, with keys and credentials they cannot use without explicit, time-bound authorization.
• Independent audits: Moraph's operations are audited under SOC 2 Type II and ISO/IEC 27001. Smarsh's own platform assurance reports are available from Smarsh under its terms.
• Data residency: Archive data is held in the Smarsh hosting region selected for your firm, and Moraph's service tooling uses the United States, United Kingdom or Australia region you choose.

Limitations

• Moraph is not Smarsh. The platform belongs to Smarsh, and Smarsh's own service commitments, roadmap, maintenance and outages apply to it.
• Licenses are subject to Smarsh's terms, and the channels that can be captured depend on what Smarsh supports and what you license.
• Capture depends on the source systems. If a channel is used on an unmanaged device or an unapproved app, it may not be captured at all.
• Messages that were never captured, for example during a source-side outage, may not be recoverable. Daily checks find gaps; they cannot always fill them.
• Your firm remains responsible for its books-and-records and supervision obligations, including the Rule 17a-4(f) designations and undertakings that apply to you.
• Moraph does not make supervisory decisions. Your reviewers decide whether a message needs action.
• Smarsh's lexicons and policies flag messages for review; they do not find every problem message, and your sampling and review procedures still apply.
• Legal advice on retention periods, holds and disclosures is not part of the service.

Next steps

Book a demonstration or a technical briefing at www.moraph.com/solutions/communication-archiving. Purchasing routes and company information: www.moraph.com/how-to-buy.