It can be hard to keep track of exactly what tools and technology you need to meet FINRA and SEC requirements. In this Connected Suite Supervision Policy Matrix, you can see exactly how the features and policy tools of the Connected Suite match up to the recordkeeping and supervision requirements of financial regulators. Not only does this handy reference guide provide a list of all policies within the Connected Suite, it also provides brief descriptions for each, relevant governing bodies, applicable regulations, key concerns, and a rundown of which industries are impacted by each policy.
Download the newly-updated Connected Suite Supervision Policies Matrix.
To learn more about the policies within the Smarsh Connected Suite, visit Smarsh Central.
A global client base, including the top 10 banks in the United States and the largest banks in Europe, Canada and Asia, manages billions of conversations each month with the Smarsh Connected Suite. Government agencies in 40 of the 50 U.S. states also rely on Smarsh to help meet their recordkeeping and e-discovery requirements.
The company is headquartered in Portland, Ore. with nine offices worldwide, including locations in Silicon Valley, New York, London and Bangalore, India. For more information, visit www.smarsh.com.
Latest posts by Smarsh (see all)
- The Compliance Challenges of the Millennial Work-Life Balance - January 18, 2019
- Capturing Content with an Instagram Business Account - January 8, 2019
- A Year in Review: A Look Back at the Regulatory Compliance & Technology Trends of 2018 - January 7, 2019