Future-Proof Compliance

The tools you need to communicate continue to evolve
Regulators expect you to adapt

You've seen the headlines: Big Bank fined for use of WhatsApp, Global Bank fined for malicious text messages, Broker-Dealer firm fined for lack of oversight. Increasing scrutiny from the SEC, FINRA, CFTC and other regulatory bodies all too often results in expensive regulatory enforcement or reputational damage. How can financial services firms avoid being next on the list?

 

2022 Regulatory Priorities

Smarsh VP of Information Governance Robert Cruz and Regulatory Advisor Tiffany Magri are joined by Mimi LeGaye of MGL Consulting to discuss the 2022 FINRA Priorities Letter and its implications for regulated firms.

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