FINRA Tackles Social Media Compliance with FINRA Regulatory Notice 10-06
The Financial Industry Regulatory Authority (FINRA) has issued guidance to securities firms and brokers regarding the use of social networking Web sites. The details are found within the FINRA Regulatory Notice 10-06, which addresses the recordkeeping, supervision and responsibility of firms’ access and use of social networking websites like Facebook, Twitter and LinkedIn. In the Notice,…
Recent Cases Show Reliance on Backup Tapes for E-Discovery Compliance is Costly, Risky
This post was written by Seth H. Row is an independent legal consultant to Smarsh, and a litigator and electronic discovery consultant in Portland, Oregon. The threat of being penalized for inadvertently destroying evidence in litigation is a frequent recurring nightmare in the executive ranks of many large corporations these days. Companies are now routinely…
New HIPAA Breach Notice Rules
The new regulations require health care providers, health plans and other entities covered by HIPAA (Health Insurance Portability and Accountability Act) to inform individuals when their protected health information (PHI) is compromised. In cases where more than 500 people are affected by a data breach, health care providers and other HIPAA-covered entities must promptly inform…
Smarsh, Inc. Signs 500th Financial Firm For Email Archiving and Messaging Compliance Solutions
Portland, OR – September 6, 2006 – Smarsh, Inc., the financial industry’s most trusted managed service provider of innovative, high-performance and reliable email archiving and messaging compliance solutions, today announces the company is now officially archiving emails and instant messages for more than 500 broker dealers, investment advisors, hedge funds and other financial firms. Experiencing…
Smarsh Adds 250th Email Archiving Customer
Portland, OR – November 22, 2005 – Smarsh Inc., a privately held global provider of technology solutions for the financial services industry, announces the addition of its 250th client for managed email archiving and regulatory compliance. This is a landmark for Smarsh, demonstrating tremendous customer growth and retention throughout the calendar year. The company’s broker/dealer…
Smarsh Signs 100th Broker/Dealer Client for Email Archiving
Portland, OR – March 18, 2005 – Smarsh Inc., a privately held global provider of technology solutions for the financial services industry, announced this week the signing of their 100th Broker/Dealer client for managed email archiving and regulatory compliance. This milestone follows the recent launch of Archive InSite for Hedge Funds and updated versions of…
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