The electronic communications compliance maturity assessment

As regulatory scrutiny increases and technology evolves, compliance professionals for FINRA and SEC-registered firms rely on the retention and oversight of electronic communications to:

  • Effectively identify and address risk
  • Efficiently enforce governance policies
  • Produce required content in their times of maximum need, such as during a regulatory examination or audit.

The ongoing journey towards efficient electronic communications compliance requires a combination of human capital, thoughtful process and comprehensive technology. Firms that have built sustainable, scalable and holistic electronic communications compliance programs demonstrate keen awareness of their oversight obligations, reliable preparedness for regulatory scrutiny and the thoughtful deployment and efficient use of technology.

This assessment will help you identify your organization’s strengths in these categories as well as prioritize focus areas as they relate to people, process and technology.

Smarsh TV – Maturity Assessment Walkthrough

Featuring Mike Pagani

In this Smarsh TV segment, Mike Pagani, Senior Director of Product Marketing and Chief Evangelist for Smarsh, walks you through what to expect when you take the Electronic Communications Compliance Maturity Assessment.