What the SEC’s Proposed Vendor Due Diligence Rule Means for RIAs
In line with an ongoing trend to establish cybersecurity protocols for registered investment advisers
(RIAs), the Securities and Exchange Commission (SEC) voted on a proposal to address vendor due diligence and security.
As the financial services industry
adapts to changing market conditions and an increasingly digital business landscape, the need to incorporate new tools and services to m...
Keeping Pace with FinServ Regulatory Compliance Demands with Smarsh and AWS
A version of this article was first published on the AWS Partner Network Blog
.
Enterprise organizations require the ability to be proactive on modern governance challenges. The difficulty is knowing what data you have, where it’s located, its business value or risk to the organization, and how it can be protected.
Smarsh is an AWS Financial Services Competency Partner that capture...
Watch it Work: Enterprise Conduct
WATCH IT WORKEnterprise ConductSupervise communications data faster, more efficiently, and with fewer false positivesWHAT TO WATCH FORReduce false positives by 90% and surface truly risky communications by 300% with machine learning technologiesff-font-awesome4 icon-minusSupervise more than 100 communication channels (including audio and video)ff-font-awesome4 icon-minusSignificantly streamline ov...
Data Lifecycle Management
WHITE PAPERData Lifecycle ManagementIntroducing a tiered approach to data management The information explosion continues unabated. Despite dramatic improvements in data storage, businesses of all types and sizes struggle to keep up with exponential data growth.
Enterprises need new data management approaches to cope with the rising tide of data and to avoid the risks that result from uncontroll...
Digital Communications Compliance Highlighted at the FINRA 2022 Advertising Regulations Conference
Listen to the article.
Given FINRA’s 2022 priorities
announced back in January and continuous crackdown on encrypted apps, it’s no surprise that the Digital Communications and Social Media session was the most popular session at FINRA’s recent Advertising Regulations Conference.
Session attendees were polled on various topics, and a couple stood out:
On using virtual too...
9 Myths About Microsoft Teams Export API
9 Myths About Microsoft Teams Export API9 Myths About Microsoft Teams Export API Starting January 31, 2023, financial services firms will need to rethink how they collaborate, with the release of Microsoft Teams Export API (EAPI).
There are plenty of questions surrounding it, including:
How it works
How it will impact recordkeeping compliance
Whether the new features and default set...
What’s the Difference Between Cybersecurity and Cyber Compliance?
Many people in the financial services industry understandably think "cybersecurity" and "cyber compliance" are interchangeable terms that mean the same thing. However, cybersecurity and cyber compliance are distinctly different and describe different — but equally important — concepts.
As regulators increasingly emphasize cybersecurity risk management
, it's important for firms to...
Cybersecurity vs. Cyber Compliance: The definitive guide for compliance professionals
Guide
Cybersecurity vs. Cyber Compliance The definitive guide for compliance professionals
Cybersecurity isn’t new — it's been a major concern and frequent topic of discussion in the financial services industry for decades. In more recent years, a different but related area is gaining regulatory attention: cyber compliance.
Many people understandably think these are interchangeable terms an...
7 Capture Differentiators
7 Capture Differentiators
Capture for compliance. Capture with confidence. Organizations in regulated industries need to capture their communications data — an increasing challenge as collaborative technologies get more complex, varied and diverse. You need a partner you can trust to ensure your capture workflow is up to regulatory requirements.
Discover what sets Smarsh apart from our c...
Watch it Work
Contact Us
Chat