A Modern Approach to Compliance for Finance Firms
Goutam Nadella: how finance firms can best modernise their approach to tracking staff communications during a tough economy and beyond
5 Communication Lessons Every Regulated Industry Can Learn from the Financial Services Industry
The SEC spent the latter part of 2022 issuing a series of exceptionally large
enforcement actions against financial services firms over unapproved communications tools. Most of these actions stemmed from recordkeeping violations. Because broker-dealers and investment advisers were using unapproved tools, firms couldn’t capture and preserve any business communications.
The enforcement a...
Cybersecurity vs. Cyber Compliance
Cybersecurity vs. Cyber ComplianceHow to tell the differenceCybersecurity and cyber compliance are NOT interchangeable terms. While you're likely familiar with cybersecurity — which has been a primary concern in the financial services industry for decades — it's common for compliance professionals to confuse cybersecurity for cyber compliance.
We've built this cheat sheet to help e...
Smarsh View: The Year Ahead 2023
Smarsh View:A Look Ahead at 2023 Smarsh View is a multimedia series featuring our team of compliance and technology experts. Below, our team shares helpful insight into the trends that will define the regulatory technology space in 2023. This four-part video series discusses the most impactful compliance technology trends from last year and what to expect moving forward.
In this mini-series, our e...
Empower Your Employees to Collaborate — and Stay Compliant
Listen to the article. Failure to comply with regulatory requirements to capture, retain and supervise all business-related digital communications in today’s world of hybrid work is simply not an option, but it does present interesting challenges for today’s financial organizations.
In the past few years, we’ve seen a massive increase in electronic communications data in the f...
Smarsh Advance Recap: Digital Communications for Government Agencies
Listen to the article. In this article series, we relive some of the most insightful Smarsh Advance 2022
conversations about the evolving compliance, communication and technological landscapes affecting regulated industries and government agencies.
Messaging around the world has evolved. It's no different for regulated industries and government agencies. Many have:
Enabled employees t...
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