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