Entries by Smarsh

Smarsh Recognized with Social Media Thought Leadership Industry Award

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Smarsh is proud to have been named a winner of the Social Media Thought Leadership 2017 Wealth Management Industry Award during a formal gala dinner ceremony held at The Plaza Hotel in New York City on Oct. 11. WealthManagement.com is the digital resource of “all things wealth management” for financial advisors and estate planning professionals. WealthManagement.com […]

2017 Slack FRONTIERS Conference: A Roadmap for Success

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With a tagline like, “Where work in progress meets progress in work,” it’s easy to understand the focus of this year’s Slack FRONTIERS conference. Conference attendees, which included Slack customers, developers, and partners such as Smarsh, were given a roadmap for what’s in store to help teams become more efficient, and encourage the collaboration needed to […]

Form ADV Deadline is Rapidly Approaching. Are You Prepared?

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As of October 1, Registered Investment Advisors are required to submit new information on Form ADV. This updated two-part form is designed to provide the U.S. Securities and Exchange Commission (SEC) with more information about a firm’s services, including: whether or not they use an outsourced compliance officer, additional information about their 25 largest branches, […]

It’s a Social, Mobile World Out There, People

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In this article, originally published by CCI, Mike provides several tips for expanding  the compliance perimeter to include social media and text messages. Download the full article here. Compliance practices are being forever changed by the widespread adoption of mobile and social technologies, combined with shifting workplace demographics. Millennials—or those between the ages of 18 and 29—are putting […]

Preparing for MiFID II and its Global Impact With Help From Industry Experts

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Global market participants are racing to meet the 2018 deadline for Financial Instruments Directive (MiFID II). Beyond Europe, the market reforms are hitting home for U.S. financial markets, vendors, and financial services firms, which are overhauling operations and IT infrastructures. Marianna Shafir—Smarsh Corporate Counsel and Regulatory Advisor—will participate in a panel during the Navigating the […]

Regulators Don’t Want Perfection, But They Do Expect a Compliance Strategy and Execution

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In this article, originally published by CCI, Mike offers pointers—such as documenting employee training, and implementing processes to remediate FINRA or SEC compliance violations—financial services firms can use to achieve reliable detection and appropriate remediation. Download the full article here. The need for financial services firms to automate the retention of all digital messages is no […]

Going Mobile and Staying Compliant with MDM Solutions and Archiving

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The world is becoming more and more mobile, not just as a means of standard communication, but also to conduct and manage business matters. Now more than ever, business happens on the go, and employers face increasing demand from employees who want to use their existing personal devices as an extension of their business tools. […]

Smarsh Named to Inc. 5000 List for 10th Consecutive Year

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Smarsh is proud to have been named one of Inc.’s 5000 fastest-growing private companies in America, marking ten straight years that it has been selected for this prestigious list of leading U.S. businesses. The Inc. 5000 list is announced each summer to acknowledge the country’s most successful private companies. The editors of Inc. magazine have recognized […]

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 […]