Smarsh Connect 24: Stronger, Faster and Smarter
We just wrapped up another fantastic gathering of customers and partners at our annual Smarsh Connect event in New York. This year’s event highlighted advances we’ve shared with the industry that have enabled them to leverage their communications data as a strategic asset in a time of unprecedented regulatory focus and technology innovation, best illustrated by the historic adoption o...
From Hypothetical Performance to Real Consequences: SEC’s Message to Advisers
The Securities and Exchange Commission (SEC) has sent a clear message to the investment advisory industry with its latest enforcement actions related to the Marketing Rule. Five firms were charged and fined over $200,000 for a range of violations, underscoring the agency's commitment to ensuring advisers adhere to the rule's strict compliance requirements.
At the heart of these cases were issu...
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