Robert Cruz
ENTRIES BY Robert Cruz

FINRA Examining Supervisory Practices for Options Trading

A brokerage app was fined $70M for systemic supervisory failures and harm to customers for not alerting them to the potential risk of certain options.

Read more

Time to Get Used to Hybrid Work: Lessons From FSI OneVoice

When polled, 63% of the audience saw retail investing as the biggest opportunity heading into 2022. The biggest concern? TikTok and WeChat.

Read more

E-Discovery Continues Its Move to the Left

How firms should evaluate their discovery solution’s abilities to identify, collect and enable review of modern communications like Slack, Teams and Zoom.

Read more

The Hybrid Workplace: Balancing Zoom and Regulatory Compliance

As financial services organizations adopt new technology for communications, they must ensure their compliance solutions are purpose-built to support those evolutions.

Read more

How the Federal Cybersecurity Order Impacts Regulatory Compliance

How the recent federal executive order on cybersecurity affects regulated private sector industries like healthcare, banking and energy.

Read more
Robert Cruz

Get a Quote

Tell us about yourself, and we’ll be in touch right away.

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 and its third-party partners regarding products and services that may be of interest to you. You may withdraw your consent at any time by emailing privacy@smarsh.com.

Contact Us

Tell us about yourself, and we’ll be in touch right away.

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 and its third-party partners regarding products and services that may be of interest to you. You may withdraw your consent at any time by emailing privacy@smarsh.com.