Tiffany Magri
ENTRIES BY Tiffany Magri

Smarsh Advance Recap: Cyber Compliance for Wealth Management — Who Owns It?

Regulatory scrutiny is focusing on cyber compliance. Does your firm’s cybersecurity posture include cyber compliance processes and procedures?

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AI-Powered Risk Management: Making the Case to Regulators

Instead of sifting through an immeasurable amount of data, AI models can streamline how you review and manage risk in your communications data.

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Compliant Advertising: The Marketing Rule and Finfluencers

Learn how the new SEC Marketing Rule expands on the current books and records rule to clarify the the use of new digital communication tools.

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FINRA Fines Doubling for Mid and Large Firms

Ever wondered how regulators determine the fine amount for recordkeeping infractions? We break it down here, and explain why FINRA is doubling the amount.

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Tiffany Magri

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