Entries by Smarsh

Smarsh Helps Financial Organisations Meet MiFID II Requirements

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Voice archiving is critical to MiFID II compliance On 3 January 2018, Europe will see MiFID II and MiFIR come into place. With core principles focused on fairer, safer and more efficient markets, this is a significant piece of legislation. The MiFID II directive impacts financial services firms that operate and/or do business with European firms […]

3 Best Practices For Governing Social Media For Financial Firms

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This article is an excerpt from the The 2017 Financial Advisor’s Guide to Social Media. This guide contains practical steps that will help you develop a social media strategy and policy that meets social media recordkeeping and supervision regulatory requirements, while gaining maximum business value from your social efforts. Download the full eBook here. Social media has become […]

The Top Electronic Communication Compliance Gaps for 2017

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This article is an excerpt from the Smarsh 2017 Electronic Communications Compliance Survey Report. This survey of financial firms shows that while many have begun to apply resources to supervision, firms struggle to focus on the channels that have the most potential for risk. Download the full report here. Against the backdrop of political shifts in Washington and growing […]

Smarsh Takes Home Another PBJ Fastest Growing Private Company Award

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At a jungle-themed event with more than 1,000 Oregon business leaders last night, the Portland Business Journal revealed its top 100 fastest-growing private companies of 2017. We are thrilled to say that, once again, Smarsh is on the list! The PBJ ranks companies by revenue growth and employment figures between 2014 and 2016. According to the Portland […]

Can Advisors Use Instant Messaging for a Competitive Edge?

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As a recent article in Investment News pointed out, “Clients who rely on Amazon’s Alexa to order dog food on command and Venmo to instantly transfer cash to friends are not going to be satisfied with a financial adviser who promises to answer account questions in a day or two.” Along with text messaging and social […]

Find Smarsh in the New FINRA Compliance Vendor Directory

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In early 2017 in its 2017 Regulatory and Examination Priorities Letter, FINRA noted its plans to introduce a directory of compliance service providers, after surveying firms about the compliance tools and resources they find valuable. The FINRA Compliance Vendor Directory is available now, as a convenient, one-stop source for firms searching for vendors that offer compliance-related […]

Lessons in Archiving for Public Sector Agencies: Part 3

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In Part 3 of our interview, Don DeLoach, former Chief Information Officer for City of Tallahassee and consultant to local government firms, gives us an inside look at the internal policies and rules public sector organizations need to have in place—and which stakeholders should be involved in creating them.   Who are the stakeholders within a […]

Get Ready for Social Media Reporting on Form ADV

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As an advisor, do you have one or more accounts on social media platforms, such as Twitter, Facebook or LinkedIn? If so, are you ready for the SEC’s adopted amendments to Form ADV and the Advisers Act books and records rule? Registered investment advisors filing an initial Form ADV or an amendment to an existing Form ADV on or […]

Radicati Group Names Smarsh a Top Player in Information Archiving

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We’re excited to announce that Smarsh has been named a Top Player in The Radicati Group’s Information Archiving — Market Quadrant 2017 report. This is the seventh year in a row that Smarsh has received the Top Player ranking. The Radicati Group’s market analysis of archiving solutions is a four-quadrant system that categorizes vendors as Top Players, Mature […]