Entries by Stephen Marsh

Smarsh + Actiance: Extending the Lead, Through Innovation.

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I had a very interesting customer conversation last week that helps lend some perspective on the recent news. This compliance officer was detailing the difficult position she was in as her firm looked at implementing a text message archiving strategy and technology solution. She knew that texting is everywhere. Enabling her advisors to use text messaging to […]

Electronic Communications Supervision is Broken. Can it Be Fixed?

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Over the past 15 years, Smarsh has urged financial services firms to retain all of their electronic communications for compliance purposes – no matter what devices, applications or channels a firm uses to talk with customers and prospects, or even internally. Email, social media, text messages, website content and internal collaboration platforms are all fair […]

Importance of Archiving Amid SEC Social Media Guidance

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In late April 2013, the SEC issued guidance on the use of social media for disclosure of company information to investors, prompted by an investigation of Netflix CEO Reed Hastings after he posted information about a business milestone on his Facebook account. While the SEC exonerated Hastings of any wrongdoing and cleared Netflix to share information […]

How the NASDAQ OMX and Smarsh Partnership Will Benefit Corporations, Broker-Dealers, Exchanges and Regulators

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This past Monday, the world’s largest exchange company, NASDAQ OMX, announced a new partnership with Smarsh. NASDAQ OMX will offer Smarsh message archiving and compliance solutions to corporations, broker-dealers, exchanges and regulators alongside NASDAQ OMX SMARTS market surveillance and compliance solutions. I am excited to embark on this new initiative with an industry leader like NASDAQ OMX, and […]

On Monitoring Employee Communications: Communicating Expectations is Key Element to Success

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This blog was written by Smarsh founder and CEO Stephen Marsh. In Laura Petrecca’s cover story from the March 17 USA Today (“Feel like someone’s watching? You’re right”), I said that employees should operate under the assumption that they are being watched. This sentiment alluded primarily to employee communications at the office, on corporate-issued devices or through corporate […]