Subscribe to the Smarsh Blog Digest

Subscribe to receive a monthly digest of articles exploring regulatory updates, news, trends and best practices in electronic communications capture and archiving.

Smarsh handles information you submit to Smarsh in accordance with its Privacy Policy. By clicking "submit", you consent to Smarsh processing your information and storing it in accordance with the Privacy Policy and agree to receive communications from Smarsh and its third-party partners regarding products and services that may be of interest to you. You may withdraw your consent at any time by emailing privacy@smarsh.com.

Regulatory Updates
Regulatory Updates: Enforcement is Heating Up Across the Regulatory Landscape
Read more
Teamwork Meeting Start up
The Preferential Effects of Millennials on Financial Services Communications
Read more
male signing papers featured img 600x320
Noteworthy Takeaways from FINRA’s 2018 Priorities Letter
Read more
slack_logo
2017 Slack FRONTIERS Conference: A Roadmap for Success
Read more
icon_wp_guidewhosocial
Can Advisors Use Instant Messaging for a Competitive Edge?
Read more
airtight_mobile_iii_blog_thumb
Your Business Records are in Pockets and Purses
Read more
slack_logo
Archiving and Compliance Now Available with Slack Enterprise Grid Integration
Read more
admincred_icon
7 Important Takeaways from FINRA’s 2017 Priorities Letter
Read more
Policies Review
Top 3 Signs Your Firm Isn’t FINRA and SEC Compliant
Read more
Best Practices for eDiscovery and Regulatory Compliance in Office 365
Best Practices for E-Discovery and Regulatory Compliance in Office 365®

Last month, the SEC and FINRA fined several firms for failure to establish reasonably designed supervision programs to ensure compliance with applicable securities laws and regulations. Individuals were also fined for failing to comply with securities laws and regulations pertaining to electronic communications.  The SEC penalized a bank .7 million for failing to reasonably supervise...

Download Report
steve
Electronic Communications Supervision is Broken. Can it Be Fixed?
Read more
Symphony_Logo_RGB
Enhanced Archiving and Compliance Now Available for Symphony Communications
Read more
Policies Review
The Top 3 Communication Compliance Gaps for Financial Firms
Read more
ediscovery-cases@2x
What would the Inspector General say about your records management and archiving?
Read more
Information Archiving
Radicati Group Names Smarsh a “Top Player” in Information Archiving
Read more

Get a Quote

Tell us about yourself, and we’ll be in touch right away.

Smarsh handles information you submit to Smarsh in accordance with its Privacy Policy. By clicking "submit", you consent to Smarsh processing your information and storing it in accordance with the Privacy Policy and agree to receive communications from Smarsh and its third-party partners regarding products and services that may be of interest to you. You may withdraw your consent at any time by emailing privacy@smarsh.com.

Contact Us

Tell us about yourself, and we’ll be in touch right away.