ENTRIES BY Robert Cruz
Our Expectations for This Year’s FINRA Annual Conference
May 8, 2023
We think there’s another clear, unambiguous, and painfully obvious conversation that attendees will want to discuss: off-channel communications.
SmarshCONNECT 2023: The Year of Agile Compliance
April 27, 2023
We just had a great showing at SmarshCONNECT 2023. If you weren’t able to make it, here’s a recap of the major conversations around regulatory compliance.
SIFMA Social Media and Digital Marketing Seminar Recap: How Times Have Changed
March 3, 2023
The recordkeeping conversations between 2020 and 2023 have drastically changed. Learn what firms need to do to keep up with regulators and technology.