Marianna Shafir Esq.
Corporate Counsel, Regulatory Advisor at Smarsh
Marianna Shafir is Corporate Counsel and Regulatory Advisor at Smarsh, where she’s responsible for legal and regulatory affairs worldwide. With her expertise in financial services industry, compliance and eDiscovery, Marianna counsels Smarsh clients on meeting regulatory obligations, leveraging technology and guidance on best practices related to electronic communications supervision. Prior to joining Smarsh, Marianna worked for BNY Mellon and Invesco where she was an instrumental member on compliance teams.Marianna has also served as an adjunct professor at New York Career Institute where she taught Law Office Management and Real Estate Law. She earned her Juris Doctorate from Nova Southeastern University. She is a frequent speaker at industry conferences and a contributor to various online publications.
Latest posts by Marianna Shafir Esq. (see all)
- SEC Risk Alert for Most Common Compliance Violations by Brokers and Investment Advisors - September 16, 2019
- Regulatory Update: Brokers Face Personal Liability - August 15, 2019
- Connected Suite Spotlight Series – Now We’re Supervising!
Workflows and Review Queues - July 31, 2019
ENTRIES BY Marianna Shafir Esq.
SEC Risk Alert for Most Common Compliance Violations by Brokers and Investment Advisors
SEC Risk Alert for Most Common Compliance Violations by Brokers and Investment Advisors Updated September 16, 2019Published March 06, 2017 by Marianna Shafir Esq. SUBSCRIBE TO BLOG Subscribe Smarsh handles information you submit to Smarsh in accordance with its Privacy Policy. By clicking “submit”, you consent to Smarsh processing your information and storing it in…
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