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The Big Question at SIFMA C&L Orlando: “Can We Just Be Done with Off-Channel Enforcement Now?”

"Can we just be done with off-channel enforcement now?” That was asked by a senior member of a major law firm to a regulator during the main-stage interview that kicked-off the SIFMA C&L conference in Orlando. He continued with, “Can’t we all just stop text messaging?” This references an earlier interview with SEC Enforcement Head, Gurbir Grewal, who stated that ...

Navigating the SEC’s Expanded Dealer Definition

The SEC has expanded the definition of "dealer" in securities regulations, bringing more entities under regulatory oversight. Now, anyone buying and selling securities as part of their business must register with the SEC, join a self-regulatory organization (SRO), and follow federal securities laws and related rules. In this post, we share what changed with the SEC's dealer definition and an...

Digital Communication Preservation: Highlights of the DOJ and FTC’s Imperative Guidance

In a rapidly evolving digital landscape, the Department of Justice (DOJ) and Federal Trade Commission (FTC) have issued updated guidance, emphasizing the critical importance of preserving digital communications. This guidance addresses the growing prevalence of collaboration platforms and ephemeral messaging apps in modern workplaces, which pose challenges for compliance and records management. ...

Smarsh and TeleMessage Enhance Mobile Messaging and Voice Capture

We’re thrilled to announce that TeleMessage is now a Smarsh company. TeleMessage technology solutions are an integral component of our combined, industry-leading mobile and voice compliance offerings, and we’re excited to welcome the TeleMessage team into the Smarsh organization. As part of the Smarsh platform, mobile communications, and voice data are retained (alongside communica...

Smarsh Completes Acquisition of TeleMessage, Extends Communications Compliance Leadership

Smarsh Completes Acquisition of TeleMessage, Extends Communications Compliance Leadership As regulatory scrutiny around off-channel communications mounts, Smarsh helps customers solve for broadest range of mobile use cases PORTLAND, Ore., Feb. 20, 2024 – Smarsh®, the global leader in digital communications compliance and intelligence, announced the successful acquisition of TeleMessage, the leader in mobile messaging and…

Off-Channel Enforcement Update: The Value of Self-Reporting Becomes Clearer

The SEC continues its mission to change behaviors in financial services regarding the use of unapproved communications tools. Last week, the regulatory agency announced its most recent enforcement actions and recordkeeping violations settlements: $81 million in total penalties across 16 financial services firms. The firms admitted that they failed to retain electronic communications on perso...

Taming the Data Flood: How Data Consolidation Empowers Businesses

Organizations are grappling with numerous data governance and information management challenges as vast amounts of digital data flood into organizations at a record pace. These challenges are fueled by the new regulatory retention requirements, rising ransomware and malware attacks and the growing adoption of generative AI. To make matters worse, companies must continue to capture and manage regu...

Enterprise Platform Uses AI and Machine Learning to Enhance Compliance Agility

As communications modalities evolve, so do the needs of financial services organizations. Smarsh is responding to those changes with expanded artificial intelligence (AI) and machine learning technologies (ML) in the Smarsh Enterprise Platform. This will accelerate your ability to close regulatory gaps within North American and EU markets. Language transcription challenges Only 9% of banks are ...

Smarsh View: A Look Ahead to 2024

Smarsh View:A Look Ahead to 2024Smarsh View is a multimedia series featuring our team of compliance and technology experts. Below, we offer helpful insight into the trends that will define the regulatory technology space in 2024. This video series discusses what compliance technology trends were most impactful from last year and what to expect in the year ahead.Shaun Hurst, Principal Regulatory Ad...

SEC Rule 17a-3 – Records to be Made by Certain Exchange Members

SEC Rule 17a-3, mandated by the U.S. Securities and Exchange Commission under the Securities Exchange Act (SEA), compels brokers and dealers to document and retain a comprehensive record of all securities transactions. This encompasses ledgers, account statements, trade confirmations, and cancelled checks, setting forth strict standards for data retention and management in the financial and…

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