Making Communications Compliance Effective and Easy for Wealth Management Firms
Making Communications Compliance Effective and Easy for Wealth Management FirmsIs your archive up to the task? With headline-worthy penalties and fine amounts, it’s clear that financial services regulators have made supervision compliance a top priority. But it’s also clear that review teams are struggling to keep up with the growing variety and volume of communications data.
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Smarsh Advance Recap: Compliance in a Mobile-First World
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.
The popularity of sending business-related messages on applications like WhatsApp, WeChat, and Telegram reveals how mobile applications have become a core com...
Smarsh Announces New Chief Financial Officer and Chief People & Diversity Officer to Help Scale Fast-Growing SaaS RegTech Leader
Smarsh Announces New Chief Financial Officer and Chief People & Diversity Officer to Help Scale Fast-Growing SaaS RegTech Leader Former Veeam Software and American Express executives will help Smarsh meet the evolving, sophisticated needs of customers as the digital communications landscape and RegTech environment continue to evolve PORTLAND, Ore. (November 29, 2022) – Smarsh, a…
Smarsh CPDO Leander LeSure
Leander LeSure is the Chief People and Diversity Officer at Smarsh. He is focused on developing and aligning people strategy and teams to ensure growth, customer focus, and scale. With more than 20 years of global HR experience, Leander has been recognized across several industry-leading organizations for creating world-class talent management strategies and programs.
Smarsh CFO Mike Cagle
Mike Cagle is the Chief Financial Officer at Smarsh. He is focused on scaling financial and operational capabilities to accelerate growth and drive value creation. With more than 20 years of experience in the FinTech and SaaS industries, Mike is a strategic partner who aligns organizational financial objectives with strategic initiatives and operation execution.
A Day in the Life of Compliance
A Day in the Life of ComplianceSimplify your workday with SmarshWhile reviewing alerts is important to ensure that your organization is complying with industry regulations, it doesn’t have to be a time-consuming task. Discover how much time you can reclaim to focus on mission-critical goals when you choose Smarsh to streamline your compliance workflows.
Smarsh Advance Recap: Cyber Compliance for Wealth Management — Who Owns It?
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.
Listen to the article:
As regulatory scrutiny evolves from cybersecurity to cyber compliance
, firms need to enhance their cybersecurity posture and integrate cyber compliance processes ...
Smarsh Origin Story
Over two decades, Smarsh evolved beyond email archiving to incorporate more than 100 different communication channels today, with billions of messages managed each month. Join Smarsh Founder and Chairman Steve Marsh to hear more about the Smarsh Origin Story.
Watch it Work: Microsoft Teams
WATCH IT WORKSmarsh and Microsoft TeamsEnsure your Teams’ communications data is properly captured and available for regulatory and legal requests.WHAT TO WATCH FORCollaborate seamlessly while meeting strict SEC, FINRA, MiFID II, FCA and other records retention compliance requirementsff-font-awesome4 icon-minusReduce archiving, e-discovery and supervisory complexityff-font-awesome4 icon-minusCap...
1LoD – Surveillance Moves to The Top of The Risk Agenda
1 LoD ReportSurveillance Moves to the Top of the Risk AgendaInnovation at the Intersection of Speed and ComplianceRegulators are cracking down on supervisory violations, which is made clear by the increasing number of multi-million dollar fines. Global banks are taking note and many are prioritizing their digital communications surveillance. In this report, we go over the key conversations that to...
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