The Benefits of SaaS
White PaperThe Benefits of SaaSAddressing compliance complexity with cloud-native infrastructure Technology is advancing, data is growing and regulations are evolving — and financial institutions need to keep up.
Remaining compliant with your data requires a scalable storage solution. While using a SaaS platform helps firms tackle an abundance of data on tight budgetary restraints, choosi...
Professional Archive 2023 Recap
As regulatory demands increase, Smarsh has you covered with a host of releases within the Professional Archive platform. In 2023, we made workflows easier, more efficient and more reliable so you can save time while improving your compliance posture.
To enable you to see data faster, eliminate blind spots and demonstrate your compliance, Professional Archive enhancements included:
Four i...
A Guide to Building a Mobile Compliance Strategy
GuideA Guide to Building a Mobile Compliance StrategyCreate a future-focused compliance strategy that adapts to evolving regulations The frequent and strict regulatory enforcement of off-channel communications violations is not letting up. If firms haven't built a mobile compliance strategy yet, it's time.
With evolving regulations trying to keep pace with rapidly changing technology, the compl...
Taking on the Challenge of Mobility for Financial Services
Webinar BriefTaking on the Challenge of Mobility for Financial ServicesMeeting collaboration and data compliance needs at scale with Smarsh and Zoom We live in a mobile world, and evolving communications data regulations require businesses to take a forward-thinking approach to mobile compliance. Firms must account for technology, policy and compliance obligations to securely collaborate and remai...
Smarsh Integrates with Box to Offer Enhanced Capture, Archiving and Surveillance of Content and Communications
Smarsh Integrates with Box to Offer Enhanced Capture, Archiving and Surveillance of Content and Communications Collaboration will facilitate compliance with retention and oversight requirements for financial services and other heavily regulated industries PORTLAND, Ore. (November 14, 2023) – Smarsh®, the global leader in digital communications compliance and intelligence, today announced an enhanced integration with Box,…
Off-Channel Communications Compliance and the Search for Best Practices
Last updated: February 9, 2024
Maintaining books and records has always been a requirement in the financial services sector. However, the task has been greatly complicated by:
Increasingly popular hybrid and remote work policies
Evolving collaboration trends
New mobile and communication apps
Developing public perception
For the SEC, FINRA and CFTC, this is about more tha...
Navigating the DOJ ECCP Update: A Focus on Communications Compliance
Those of us in the financial services community know quite a bit about communications compliance. However, the Department of Justice’s (DOJ) Evaluation of Corporate Compliance Programs (ECCP)
introduces a distinctive facet of compliance practices for corporations.
The ECCP is designed to guide DOJ prosecutors in evaluating the effectiveness of a corporation's compliance program when co...
5 Records Management Best Practices for Government Agencies
From the webinar: Reviewing and Revising Your Mobile Compliance Strategy by Robert Cruz, VP, Information Governance Solutions at Smarsh and Blane Warrene, VP of Product Management at Smarsh.
The proliferation of digital communication channels has created a vast and deep ocean of decentralized data, making e-discovery and records management a complex and time-consuming exercise for gover...
Professional Archive
Simplify Your Compliance Workflows with Smarsh Experience regulatory peace of mind with Smarsh
Meeting regulatory needs is an evolving challenge. Not only do compliance professionals need to do their job in managing vendor and cybersecurity risks, they also need to prove those efforts — and all that gets tougher when budget and resources are limited.
Find out how the Smarsh Professional ...
SEC Ramps Up Enforcement Actions Against Off-Channel Communications Violations
The third quarter of 2023 brought two new waves of enforcement initiatives
from the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) that exceeded $675 million across prominent banks and financial institutions. These actions targeted deficient off-channel communications recordkeeping, underscoring regulators' heightened scrutiny of firms' retention practi...
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