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...
2022 Regulatory Roundup: Record-Breaking Penalties Provide a Glimpse Into 2023
This year’s Regulatory Roundup highlights how the SEC and FINRA cracked down on regulatory failures in record numbers. And what regulated industries can expect — and prepare for — in the coming year.
Featured speakers:
Marianna Shafir
, Regulatory Advisor at Smarsh
Brian Rubin
, Co-Head of Litigation and Co-Head of Securities Enforcement at Eversheds Sutherland
...
Episode 9:
The Issues Facing Compliance Officers
In Episode 9 of the Smarsh View series, Robert Cruz, VP of Information Governance will moderate a discussion between Smarsh Regulatory Advisors Shaun Hurst and Tiffany Magri. They will discuss the issues facing compliance officers as regulators become tougher, new technology comes into play and less budgets are available to compliance teams.
Modernization of SEC 17a-4: What Does it Mean for Your Firm
The SEC recently updated Rule 17a-4 to address how firms maintain, preserve and produce electronic records. The amendment also addresses the use of third-party recordkeeping services. In this podcast, we’re joined by Therese Craparo and Anthony Diana, partners at Reed Smith, LLC, to discuss what firms need to do to stay compliant and avoid hefty fines in the face of evolving communication trends...
WhatsApp: What Recent SEC Fines Mean for Small Firms
Earlier this year, the SEC made headlines when it issued record-breaking fines against some of the world’s largest financial firms for failure to monitor employee communications on WhatsApp and other unapproved communication tools. However, small firms are not exempt from penalties. In our latest podcast, experts from Smarsh and Elinphant discuss recent recordkeeping guidance from the SEC and sh...
Smarsh Advance Recap: Voice – The Newest Frontier in Supervision
Listen to the article. In this article series, we relive some of the most insightful Smarsh Advance 2022
conversations about the evolving compliance, communication and technological landscapes affecting regulated industries.
We frequently discuss how communication channels continue to increase in the form of texting, video conferencing and instant messaging applications. But that ...
Financial Services at AWS re:Invent 2022
Custom title- Disable "post title"Custom subtitle title- Delete if not usingSubscribe to the Smarsh Blog DigestSubscribe to receive a monthly digest of articles exploring regulatory updates, news, trends and best practices in electronic communications capture and archiving.FOLLOW USff-font-awesome4 icon-facebook-fff-font-awesome4 icon-twitterff-font-awesome4 icon-linkedin Last week, AWS Re:Invent ...
Smarsh Enterprise Conduct
Solution Brief Smarsh Enterprise Conduct A Cognitive Scenarios solution brief One of the biggest challenges with today’s supervision and surveillance systems is separating the real risk from the ‘noise.’ Review teams are required to sift through a vast and often unmanageable number of false positives to get to relevant and targeted content.
In this solution brief, you’ll l...
Smarsh Advance Recap: Addressing Today’s Collaborative Technology Realities in E-Discovery Processes
Listen to the article. In this article series, we relive some of the most insightful Smarsh Advance 2022
conversations about the evolving compliance, communication and technological landscapes affecting regulated industries.
More businesses are adopting collaboration platforms — such as Zoom, Slack and Microsoft Teams — now that hybrid work has gained traction with no ...
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