The Top 5 Electronic Communication Compliance Gaps

The 2016 Electronic Communications Compliance Survey of financial services firms shows that, while many firms acknowledge the risk, large compliance gaps remain – often for newer technology like social media, mobile messaging or instant messaging.

With limited resources available for the retention and oversight of electronic communications, many organizations are struggling to meet their supervision obligations and lack confidence in their ability to enforce written supervisory procedures and produce data during audits or examinations.

In this webinar, Smarsh Vice President of Marketing Ken Anderson and Chief Evangelist Mike Pagani discuss the results of the 2016 compliance survey, identifying the most prevalent compliance gaps and discussing how firms can solve them.

Watch now to learn:

  • The five most common e-communication compliance gaps for financial firms
  • What compliance departments are the most concerned about
  • Best practices from peers to protect against risk, fraud, and regulatory enforcement actions

        Ken Anderson

        Vice President, Marketing

        Ken Anderson leads Smarsh marketing and communications initiatives, and his team is responsible for the implementation and execution of strategies across product marketing, sales enablement, demand generation, analyst relations, corporate communications, web and social media programs.

        Mike Pagani

        Chief Evangelist

        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.