Compliance Made Easy for RIAs and Broker-Dealers
GUIDECompliance Made Easy for RIAs and Broker-DealersHow to make your compliance management easier, more efficient, and more reliable with Smarsh Remaining compliant with recordkeeping obligations set forth by FINRA and the SEC can be difficult, tiresome and sometimes overwhelming. Compliance officers and their organizations need an archiving solution that meets modern demands — and that&rsq...
What Next for the 3 Lines of Defence
ReportWhat’s Next for the 3 Lines of Defence In a recent XLod Global gathering of senior practitioners from first-line risk and control functions, second-line compliance units and third-line audit teams, attendees wrestled with the growth of non-financial risk types.
Many in the industry said that managing newer, emerging risks requires the three lines of defence to make significant adjustmen...
Sheldon Cummings Joins Smarsh as General Manager of Corporate Business Unit That Includes Registered Investment Advisory Firms and Broker-dealers
SHELDON CUMMINGS JOINS SMARSH AS GENERAL MANAGER OF CORPORATE BUSINESS UNIT THAT INCLUDES REGISTERED INVESTMENT ADVISORY FIRMS AND BROKER-DEALERS Cummings’ addition comes as these core customer segments continue to confront growing regulatory and compliance pressures due to the post-pandemic explosion of digital messaging The former Mailchimp COO and Intuit sales leader has a track record…
Smarsh is Great Place to Work- Certified™ For Second Year
Smarsh is Great Place to Work- Certified™ For Second Year Obtaining this prestigious award reinforces Smarsh employees’ trust in the organisation’s outstanding leadership and vision BENGALURU, India (March 13, 2023) – Smarsh, enabling organisations to manage the risk and uncover the value within their digital communications, announced today that it has been Great Place to…
Small Firms Beware: Regulators Are Focused on Off-Channel Communications
With the fast adoption of evolving technology across industries, the surface area of risk continues to grow rapidly. And, while firms in the financial industry must be ready to adapt to meet customers on the channels they prefer to communicate with, they also need to remain compliant with their recordkeeping and supervision obligations.
Regardless of the firm’s size, having the proper sa...
SIFMA Social Media and Digital Marketing Seminar Recap: How Times Have Changed
SIFMA’s Social Media & Digital Marketing Seminar made its first in-person return since 2020. What was abundantly clear between 2020 and 2023 was how drastically the world has changed in the span of just three years.
In 2020, the seminar focused primarily on marketing and sales engagement and the use of newer technologies like LinkedIn, Twitter, Facebook and YouTube. Data shared durin...
Using Machine Learning to Power Regulatory Compliance in Financial Services
INDUSTRY BRIEFUsing Machine Learning to Power Regulatory Compliance in Financial ServicesSurface risks and maintain compliance efficiently and effectively The financial services industry has seen the evolution of machine learning technologies in compliance monitoring from their initial introduction, gradual adoption and now continued refinement.
But we've hit an exciting milestone in recent yea...
2023 FINRA Risk Management Priorities: The Year of Digital Communications
Listen to the article. Note from the “author:”
This summary was produced by ChatGPT, with further editing representing 20% of the final copy. The impact of AI on financial services and communications with the public is enormous in light of recent announcements of the integration of OpenAI into Microsoft Teams
and Google’s investment in its new Bard platform
. More on th...
How to Stay Productive and Compliant in a Hybrid World
How to Stay Productive and Compliant in a Hybrid WorldHarness today’s communications and collaborative technologies while managing risk Digital communication is easier and more accessible than ever. But, with the growth of collaborative technologies and the widespread adoption of hybrid work models, the amount of digital communications data continues to grow exponentially. As a result, greater o...
How Global Enterprises Can Reduce the Risks of Collaboration Platforms
GuideHow Global Enterprises Can Reduce the Risks of Collaboration Platforms New communications technology is a true “equalizer” for organizations, bringing together people from multiple geographies and across demographics. Workers are no longer tethered to a single office, device or time zone and collaboration and conferencing tools (e.g., Microsoft Teams, Slack, Zoom, etc.) have repla...
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