Marianna Shafir Esq.

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.
Marianna Shafir Esq.
ENTRIES BY Marianna Shafir Esq.

Regulatory Update: Brokers Face Personal Liability

Regulatory Update Brokers Face Personal Liability August 15, 2019by 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 accordance with the Privacy Policy and agree to receive communications from Smarsh…
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Connected Suite Spotlight Series – Now We’re Supervising!
Workflows and Review Queues

This Connected Suite Spotlight Series is for clients using the Professional Archive, and anyone who is interested in benefits and tips for compliance best practices for financial services. Workflows and Review Queues Review Queues are easily set up with one-click functionality allowing reviewers to mark and assign messages, read and add notes, and create escalation…
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Connected Suite Spotlight Series – Supervision Policies and Procedures

This Connected Suite Spotlight Series, is for clients using the Professional Archive, and anyone who is interested in benefits and tips for compliance best practices for financial services. Supervision Policies and Procedures Supervision configuration options include policy management. This allows policy configuration for data supervision and classification based on a wide set of search criteria…
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Connected Suite Spotlight Series – Why Supervision?

This Connected Suite Spotlight Series, is for clients using the Professional Archive, and anyone who is interested in benefits and tips for compliance best practices for financial services. Why Supervision? In the financial services industry, supervision is critical for retention and oversight of electronic communications. All regulated firms must demonstrate to regulators that they are…
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FINRA 2018 Fines Summary for Noncompliance with Recordkeeping and Supervision Obligations

In 2018, FINRA focused on firms’ noncompliance with recordkeeping and supervision obligations. FINRA penalized firms for communications sent over channels which firms cannot or are not archiving. Also last year, FINRA held individuals responsible for text message–related violations. FINRA fined a firm $700,000, and the chief executive officer (CEO) was fined $100,000 and barred from…
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