Mitigate Risk and Manage Compliance Objectives with Purpose-Built Technology

Managing risk and compliance is increasingly complex as the consumerization of IT continues to drive an ever-broader array of new technologies and communications platforms including the many emerging social media channels. To take advantage of these new opportunities requires specialized strategies, infrastructure and solutions.

Justin Kapahi, Technical Director from External IT and Mike Pagani, Chief Evangelist at Smarsh discuss best practices for RIAs and Broker-Dealers to mitigate risk and manage compliance around IT Infrastructure, client and corporate data, and electronic communications.

Watch now to learn:

  • Role of technology solutions in achieving business success
  • The differences between backup, disaster recovery and archiving
  • How to proactively manage compliance through policies, technology and automation


Justin Kapahi

Technical Director, Financial Services Practice

External IT

Justin Kapahi has spent 15+ years engineering high-end systems for financial, enterprise scale and SMB-sized companies including Goldman Sachs, General Dynamics, Sumitomo Mitsui Banking Corporation, and Eli Lilly Corporation. At External IT, Mr. Kapahi works specifically with RIAs, broker-dealers and asset managers to engineer solutions that are both scalable and SEC compliant. He is also the company’s go-to expert on SEC response. Previously, Justin served as the Chief Technology Officer at Fairholme Capital Management.

Mike Pagani

Senior Director of Product Marketing and Chief Evangelist

Smarsh

Mike Pagani is Senior Director of Product Marketing and Chief Evangelist at Smarsh. He is a seasoned IT professional and recognized subject matter expert in the areas of mobility, identity and access management, network security and virtualization. In his role, Mike also works with industry regulators, such as the SEC and FINRA, to keep customers and partners informed of the latest developments and requirements related to electronic communications compliance.