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Assisted Review - Frequently Asked Questions



What does the Assisted Review program include?

The Assisted Review program includes the following elements:
  • Supervision Policies. Policies enable automated classification and filtering of content managed by The Archiving Platform. These policies govern what and how content is identified for human review, leveraging advanced technology filtering based on the metadata and content of communications subject to supervision. The program incorporates policy implementation and tuning specific to your compliance obligations and derived from over 35 supplied policy templates cultivated from what Smarsh has learned assisting thousands of customers. 
  • Human first-pass review. Smarsh certified reviewers evaluate messages classified by the supervision policies for potential compliance violations. The review process includes multiple formalized quality control steps to increase accuracy and confidence in the results of the review. Questionable messages are flagged by the reviewers for your evaluation.
  • Rigorously documented processes and procedures. Assisted Review is conducted in accordance with an Assisted Review Specification (ARS) document which formally defines the framework and processes used to conduct the review. Based upon your Written Supervision Procedures (WSP), ARS establishes a repeatable, verifiable process and enables you to exert supervisory control over the review efficiently as required by FINRA 3110.08.
  • Proactive monitoring and reporting. The Assisted Review program incorporates multiple continuous improvement processes, along with specialized review reporting to provide you with even more management control and defensibility.
 

So does this mean that I can spend less time doing message review? 

YES! Assisted Review eliminates the need for compliance officers to review large quantities of non-relevant messages. The program uses a combination of technology and human review to escalate a small number of items for compliance review, allowing you to filter out the noise and focus on the messages of greatest risk.
 
 

How is Assisted Review better than traditional self-administered supervision review?

The Assisted Review program benefits from a documented, formalized review process which increases the defensibility of your review activity.  Additionally, Assisted Review includes pre-determined frequency, multiple quality control steps, continuous improvement processes, and detailed reporting, most of which are not typically found in self-administered supervision reviews.   
 
 

What are the prerequisites for Assisted Review?

To subscribe to Assisted Review you must also be subscribed to:
  • The Archiving Platform
  • The Supervision add-on module
 

How is Assisted Review priced?

The Assisted Review program uses a predictable, fixed fee subscription pricing model based on the quantity of electronic messages that are subject to Assisted Review.  Multiple pricing tiers provide customers with monthly cost predictability (even with minor fluctuations in message volume), with the added benefit of variable and efficiency-related economic risks being assumed by Smarsh.
 

How do I get started?

Contact your Smarsh Account Executive or Customer Success Manager to get started.  Assisted Review is currently in pilot with select customers and will be commercially available Summer 2016.  

Keywords : assisted review
Category : General
FAQ ID : 509
Last Updated : 5/13/2016