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Advancing Mobile Capture Solutions to Meet Evolving Compliance Needs

The business world has become more intertwined with mobile than ever before. Across industries, professionals are on the move, adopting a work-from-anywhere approach to conducting business. The convergence of digital communications and hybrid work has created flexibility and also presented challenges with both corporate-issued devices and employees' personal devices. Today's business communicatio...

Our Top 5 Digital Communication Predictions for 2023

Contributing authors: Shaun Hurst, Tiffany Magri, Robert Cruz 2022 was a year without comparison. Financial services firms went through unprecedented changes that impacted the way they do business. From global market volatility, spiking interest rates and a looming recession, global banks, broker-dealers, and investment advisors all faced post-pandemic regulatory uncertainties not seen sin...

Watch it Work: Vendor Risk Management

WATCH IT WORKVendor Risk ManagementEnsure third-party partnerships meet regulatory requirements with vendor risk assessments and remediation.WHAT TO WATCH FOREasily manage vendors that have access to business-critical data from one centralized databaseff-font-awesome4 icon-minusIncrease vendor risk assessment efficiency up to 70% by automating time-consuming assessment or follow-up tasksff-font-aw...

Enterprise Supervision and Surveillance

The Various Levels of Enterprise Supervision and SurveillanceNot all supervision and surveillance technologies are created equal. Countless business-related messages are sent and received daily by employees in large organizations. While oversight of this massive collection of communications data is required for those in regulated industries, it’s a drain on their compliance teams. Discove...

Episode 10:
Encrypted Apps and Compliance Risks

In Episode 10 of the Smarsh View series Robert Cruz, VP of Information Governance, moderates a discussion with Smarsh Regulatory Advisors Shaun Hurst and Marianna Shafir. They discuss the risk from unmitigated use of encrypted messaging apps by businesses, particularly in the context of increasing compliance regulations globally.

Modernization of SEC 17a-4

Industry BriefWhat Does the SEC 17a-4 Regulatory Recordkeeping Update Mean for YouProtecting your firm in the era of the 'next big app' Hybrid and remote workforces are working from everywhere, using a variety of social and mobile applications that are more easily accessible than ever. This complicates a firm’s ability to meet recordkeeping and supervisory obligations defined in a bygone era...

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