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TOP NEWSMAKERS ROUNDUP: WEEK OF 4/12/21

Each month, I select five to ten of the most interesting stories that I’ve read over the past month or so throughout the wealth management industry media.

Read more on wealthsolutionsreport.com
Pershing, Orion Deepen Integrations: Tech Roundup

The new integrations will enable advisors to easily navigate between NetX360, Pershing’s professional workstation, and the Orion platform, and provide access to real-time data and documents, the companies said in a joint announcement Tuesday.

Read more on thinkadvisor.com
Smarsh Enables Financial Firms to Maximize Zoom Capabilities and Meet Regulatory Requirements

PORTLAND, Ore., March 18, 2021 /PRNewswire/ — Smarsh®, enabling organizations to manage the risk and uncover the value within their electronic communications, today announced the launch of three applications to the Zoom App Marketplace.

Read more on dwealth.news
Smarsh adds three new apps to Zoom App Marketplace

These applications build on the existing product integrations between Smarsh and Zoom at a time when demand for virtual meeting capabilities has surged across heavily regulated global banks, wealth management, and other financial institutions.

Read more on wealthadviser.co
Financial Advisor Digital Marketing in a Post-Pandemic World

Joan Khoury, Chief Marketing Officer of Oppenheimer & Co., joined the global full-service brokerage, investment bank, and wealth management firm in 2015, after serving as Chief Marketing Officer at LPL Financial, and prior to that, as a senior marketing executive with Merrill Lynch

Read more on dwealth.news
Smarsh Hires Execs, Acretrader Raises Capital, SEI Integrates IncomeConductor

Compliance technology provider Smarsh has announced the hiring of two new senior executives: Laurie Ehrbar moves into the role of chief marketing officer and Goutam Nadella has been named the company’s chief product officer.

Read more on wealthmanagement.com
Compliance Fintech Smarsh Adds Execs To Support Growth

Portland, Ore.-based compliance fintech Smarsh has announced the addition of two new executives to support its accelerating growth.Goutam Nadella has been named chief product officer, according to a company announcement. He will lead efforts to explore and leverage new technologies like artificial intelligence and machine learning. He previously served as executive vice president of client solutions at Symphony, a cloud-based communication and content-sharing platform for the financial services industry. Before Symphony, he held roles at REDI and Goldman Sachs.

Read more on fa-mag.com
New Skience Tool Helps Advisors Transition Client Accounts: Tech Roundup

Skience launched Advisor Transitions Solution, a new tool that it said Thursday “streamlines, digitizes and simplifies the process” in which advisors switching wealth management firms can transfer client assets to a new platform.

Read more on thinkadvisor.com
A Year Into Pandemic, Survey Finds Firms Lag In Communications Compliance

A Year Into Pandemic, Survey Finds Firms Lag In Communications Compliance

Read more on fa-mag.com
As We Get Back to the Future of Work, Banks Must Embrace WhatsApp

If you had told me a year ago that the world’s major financial services companies would all be operating almost entirely with a remote workforce, I would have broken out in a cold sweat.

Read more on globalbankingandfinance.com
Remote-working wealth managers not using retention and oversight programmes, says survey

Among other interesting findings, the report found that more than half (51%) of survey respondents indicated that they had recently begun to use applications (apps) such as Zoom, or added seats or capabilities, in response to orders to work from home. However, of the 83% of firms that allow conferencing tools, only 22% have established "retention and oversight programmes" for information that flows from the resulting communications. Smarsh finds this worrying, because it suggests that a compliance gap exists between companies' policies and procedures and their regulatory obligations. As new communication tools continue to proliferate and evolve, this gap is likely to widen.

Read more on comp-matters.com
RegTech Firm Smarsh’s Annual Survey Underscores Rising Compliance Risks of Remote Work Model

Conor Delaney, CEO of Good Life Companies, a Reading, PA-based independent hybrid registered investment adviser (RIA) firm with billion and 200 licensed financial professionals, vividly remembers when the global COVID-19 pandemic reached America in March 2020.

Read more on dwealth.news
Post-GameStop, Future Compliance Risks Could Reshape Wealthtech

For Sander Ressler, Managing Director of Essential Edge Compliance Outsourcing, a compliance supervision consultancy for the wealth management space, the Reddit-fueled surge in GameStop’s share prices towards the end of January was a memorable time for his firm.

Read more on dwealth.news
Why Remote Work Is Here To Stay

Although Covid-19 vaccines could become widely available to the public as soon as the second quarter of this year, business leaders must understand that remote work is here to stay.

Read more on forbes.com
FINRA Targets 'Game-Like' Digital Platforms

The Financial Industry Regulatory Authority is warning broker-dealers to be wary of digital platforms with interactive and “game-like” features, as they could run afoul of the regulator’s Communications With the Public rule when using them.

Read more on thinkadvisor.com

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Smarsh handles information you submit to Smarsh in accordance with its Privacy Policy. By clicking "submit", you consent to Smarsh processing your information and storing it in accordance with the Privacy Policy and agree to receive communications from Smarsh and its third-party partners regarding products and services that may be of interest to you. You may withdraw your consent at any time by emailing privacy@smarsh.com.

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Smarsh handles information you submit to Smarsh in accordance with its Privacy Policy. By clicking "submit", you consent to Smarsh processing your information and storing it in accordance with the Privacy Policy and agree to receive communications from Smarsh and its third-party partners regarding products and services that may be of interest to you. You may withdraw your consent at any time by emailing privacy@smarsh.com.