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Regulated Firms are in a Tough Spot
FINRA, the SEC and other regulators are requiring the retention and more in-depth review of an ever-expanding array of content, while employees want to take advantage of the newest means of growing and keeping in touch with their client base. Adding to this, the sheer volume of content requiring supervision continues to grow exponentially. As a result, the time and costs associated with the human effort required to conduct thorough reviews skyrockets as you try to keep pace with a process that is inherently inefficient.
The only choice appears to be hiring yet another reviewer or rolling the dice knowing that there are new and widening gaps in your supervision and review that will expose you and your organization to compliance risks, potential audits and examinations. If only there was another option.
Watch Smarsh CEO Stephen Marsh Discuss the Value of Assisted Review™