FINRA’s Lens on Off-Channel Communications: 6 Tips to be Exam Ready
We've got some exciting news for you straight from this year’s FINRA Annual Conference. Brace yourselves, because this year FINRA is turning its spotlight on those oh-so-interesting off-channel communications ( proving our prediction right
!). We're talking about those sneaky little messages that happen outside your financial firm’s approved channels
.
In one of the sess...
Regulatory Hotspots: Good Enough Isn’t Good Enough
In the ever-evolving landscape of compliance practices, emerging technologies like ChatGPT garner significant attention from compliance professionals. It’s all too easy to recognize the potential of these tools to streamline repetitive tasks, enhance supervisory review, and transform compliance practices.
However, accurately predicting the complete impact of such technology remains a cha...
Compliance Made Easy: Reporting Digital Communications Data
Compliance Made EasyReporting Digital Communications DataSimplify your reporting with Smarsh Professional Archive Communications data is vast and diverse, and governing regulations are strict. Simplified data capture and reporting are vital for RIAs and broker-dealers. With new Smarsh Pro Archive reporting dashboards, quickly and easily find the data you care about most with simple reporting dashb...
Smarsh Announces Vendor Risk Management and Cyber Compliance Join Risk and Compliance Portfolio for Wealth Management
SMARSH ANNOUNCES VENDOR RISK MANAGEMENT AND CYBER COMPLIANCE JOIN RISK AND COMPLIANCE PORTFOLIO FOR WEALTH MANAGEMENT Comprehensive Additions to Market-Leading Digital Communications Compliance Platform Strengthens Firms’ Risk Posture as Regulatory Focus on Technology Heightens Unified Portfolio Enables RIAs and Broker-Dealers to ‘Experience Compliance Made Easy’ with Ability to Archive Data, Eliminate Blind Spots, Streamline Workflows…
Banking on the Future of AI-Driven Compliance
White PaperBanking on the Future of AI-Driven ComplianceWith experts from UBS, HSBC, BMO and more AI’s collision course with the financial service sector is well underway as enterprise firms turn to AI capabilities to manage increased regulatory burden and improve risk management.
This white paper examines three distinct compliance use cases for large-scale financial enterprises across th...
Global Regulatory Communications Compliance Guide
GUIDEGlobal Regulatory Communications Compliance Get a thorough breakdown of collaborative communication in regulated industries worldwide, including the United States, Canada, the United Kingdom and the European Union.
In all these geographies, regulated firms face similar challenges:
Identifying where business communications are taking place and how they should be captured and archived...
2023 Q1 Regulatory Update: Individuals and Off-channel Digital Communications
In this second of a two-part regulatory update, we review major regulatory actions and fines against individuals in the first quarter of 2023. In this post, we highlight how individuals need to understand the evolving realities of regulatory enforcements and why it’s so important to follow their written supervisory procedures (WSPs) and policies. In part one, we cover the regulatory impacts...
The Definitive Guide to Electronic Communications Supervision
GuideThe Definitive Guide to Electronic Communications SupervisionFor Effective Compliance and Risk Management Businesses worldwide have a growing reliance on digital communications and collaboration solutions – and regulated industries are not exempt. Failing to manage potential risks quickly and accurately across digital communications channels could result in a damaged reputation and cost...
Our Expectations for This Year’s FINRA Annual Conference
Once again, we are preparing to go to Washington D.C. for the annual gathering of compliance professionals, technologists, and regulatory influencers to explore topics impacting the broker-dealer marketplace.
For those unfamiliar with the event, the FINRA Annual Conference provides a current and future look at a broad range of topics. These include regulatory compliance, risk management, crypt...
Quarterly Regulatory Update: Q1 2023
Industry BriefQuarterly Regulatory Update: Q1 2023Q1 enforcement actions: A preview for the rest of 2023? It’s only been a few months since the start of 2023, and a lot has happened within and adjacent to the financial services industry. The modernization of SEC 17a-4 is in full effect. Both the SEC and FINRA emphasized their focus on cybersecurity and digital communications, and new technol...
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