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Investment Advisers Act of 1940 Rule 204-2

The Investment Advisers Act of 1940 Rule 204-2 enforces a significant regulatory obligation on all investment advisers registered with the Securities and Exchange Commission (SEC). This involves preserving books and records related to their investment advisory activities. Under the Dodd-Frank Financial Reform Act, this rule now also applies to hedge funds and private equity firms.…

End of 2023 Sets Tone for Admission and Voluntary Self-Remediation in 2024

Last year was a whirlwind of regulatory enforcement actions, and the final quarter of 2023 proved to be more of the same. By looking at the fines and penalties regulatory agencies are imposing on financial services firms and individuals, we can discover trends regulatory agencies like FINRA, SEC and CFTC are prioritizing for 2024. Inadequate supervision of MNPI A financial services firm was rece...

FINRA 2024 Annual Regulatory Oversight Report: Impact on Digital Communications Practices

As anticipated, FINRA has just published its 90-page annual oversight report — previously titled as FINRA Examination and Risk Monitoring Program— reflecting its supervisory, regulatory, and enforcement priorities for 2024. While it covers a wide variety of operational, financial management, and reporting areas, it also addresses digital communications practices, which we’ll hig...

What Are Financial Firms Saying About 2023’s Regulatory Squeeze?

Over the past year, we’ve referenced the many , many headlines of record-breaking fines being levied against financial services firms for failure to meet recordkeeping requirements. Firms are reading the same articles – and feeling adrift about how to shore up their communications compliance strategies. We recently surveyed regulated firms to get a ‘lay of the land&rs...

Generative AI and Compliance

White PaperGenerative AI and ComplianceRisk mitigation across use cases The potential impact of generative AI on financial services is almost impossible to compute. It can completely change how we search, categorize, alert and investigate unstructured information. We’re seeing widespread interest in the industry to explore the potential benefits of generative AI. But until business execut...

Compliance Survey Report

ReportAn Unprecedented Year in EnforcementsHow financial services firms are responding to changes in digital communications compliance It was tough for financial services firms to find their compliance footing in 2023. Record-breaking fines, in-office vs. remote culture clashes, readily available generative AI technologies, growing cybersecurity and data privacy concerns, and an unprecedented volu...

Smarsh Unveils Enhanced Risk Detection Scenario Catalog, Major Leap Forward in Communications Surveillance

Smarsh Unveils Enhanced Risk Detection Scenario Catalog, Major Leap Forward in Communications Surveillance In production at an unmatched scale, regulatory-grade AI solution Enterprise Conduct strengthens customers’ ability to surface risk, eliminate noise and powers faster time-to-value PORTLAND, Ore., Jan. 3, 2024 – Smarsh®, the global leader in digital communications compliance and intelligence, today unveiled significant…

Electronic Communications Checklist for RIAs

ChecklistRIA Compliance Checklist for Electronic Communications Use this checklist to review your compliance programs and ensure your firm meets recent Securities and Exchange Commission (SEC) requirements such as the Marketing Rule . The requirements for electronic communications recordkeeping , storage and supervision can be daunting. Yet, without demonstrating reasonable supervision, RIAs pu...

2023 Regulatory Trends, Reading Between the Fines

The complex regulatory landscape continues to shift for financial services firms. Evolving enforcement trends, new regulatory expectations, and emerging legal challenges dominated discussions in the recent “2023 Regulatory Trends: Reading Between the Lines” webinar presented by industry experts Brian Rubin and Andrew Mount of Eversheds Sutherland and Tiffany Magri of Smarsh. Examining key me...

1LoD Surveillance Deep Dive: A Time to be Bold

ReportSurveillance: A Time to be Bold Non-financial risk managers say they are often torn between meeting regulatory requirements and detecting, mitigating, or preventing genuine risks. And they may be forced to choose between innovation (in both technology and methodological sophistication) and the status quo, or business as usual. 1LoD’s Surveillance Leaders’ Network in June delve...

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