AML Conference Insights: Key Principles on the Use of AI for Banks
With technological innovations, banks now have greater access to computing power and vast amounts of data, thanks to cloud computing resources and the availability of structured and unstructured data. This has led to the widespread availability of AI tools and services for banks of all sizes. These tools have proven valuable in enhancing fraud prevention controls, improving AML/CFT monitoring act...
What New RIAs Need to Consider with Electronic Communications
New RIA Compliance Requirements for Electronic Communications We live in an increasingly digital world – where electronic communications live at the heart of successful business operations. However, with any form of digital communication
, there are inherent risks.
As a new registered investment adviser (RIA)
, you must clearly understand electronic communications records obligations. T...
Off-Channel Communications Surveillance
Solution BriefOff-Channel Communications SurveillanceA Smarsh Conduct Solution In today's hybrid work environment, firms face an increasingly high risk of misconduct through off-channel communications, with over $1B USD in fines imposed by regulators in 2022.
Enterprise Conduct is a comprehensive solution to meet regulatory requirements
around surveillance and supervision while maintaining ...
Guide to Electronic Communications Capture: Mobile
Industry BriefGuide to Mobile Communications CaptureThe Smarsh advantage for communications compliance and intelligence Evolving generations have shifted the collective mindset toward immediacy when it comes to everyday interactions. Millennial and Gen-Z workers and customers are choosing to text or chat rather than send an email, impacting — and changing — overall business communicati...
Modernizing Records Management
Webinar BriefModernizing Records ManagementImplications for state and local governments Constituents demand an efficient and transparent public records request process from their state and local governments. However, records management can get complicated when a modern hybrid work environment, numerous collaboration tools, the adoption of social media and the rapidly growing amount of communicatio...
Top Reasons to Choose the Smarsh Enterprise Platform
GuideTop Reasons to Choose the Smarsh Enterprise PlatformThe Smarsh advantage for communications compliance and intelligence Communications compliance requirements are evolving, regulatory scrutiny is increasing and fine amounts are growing. The modern enterprise must stay ahead of the expanding demand for communications intelligence.
Ensuring a complete understanding of how employees communica...
SEC Risk Alert Highlights Books and Records Requirements for Investment Advisers
The Securities and Exchange Commission (SEC) has recently issued a Risk Alert
that provides important insights for investment advisers registered or required to be registered with the SEC. The alert focuses on additional areas of emphasis during examinations related to the amended Rule 206(4)-1, commonly referred to as the Marketing Rule
, under the Investment Advisers Act of 1940.
We&rsquo...
5 Steps to Compliance in an Evolving Mobile Landscape
Guide5 Steps to Compliance in an Evolving Mobile Landscape Progressing with a seamless, scalable and forward-thinking solution
For so many of us, the mobile devices we carry in our pockets are at the epicenter of how we work. Calendars, messages and documents are easily accessed before we leave our homes for the day. The increase in mobile connectivity has enabled people to communicate in many ne...
Customer Innovator Awards 2023 – Deutsche Bank
Customer Innovator Awards 2023 Congratulations to Deutsche Bank for winning a Customer Innovator Award at SmarshCONNECT 2023! We sat down with Deutsche Bank’s Jeffrey Loeb, Managing Director and Global Head of Communications Surveillance, and Asis Mohanty, Director of Global Head Trade Surveillance Technology, to get their perspective on working with Smarsh to implement and modernize Deutsc...
Smarsh Appoints Vinay Mehta as Chief Technology Officer
SMARSH APPOINTS VINAY MEHTA AS CHIEF TECHNOLOGY OFFICER Accomplished CTO and CIO has extensive experience making impact across market-leading, global organizations Seasoned leader focused on optimizing investment in communications intelligence and risk management technology for wealth management and financial services customers PORTLAND, Ore. (June 7, 2023) – Smarsh®, the global leader in digital communications compliance…
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