A Year in Review: A Look Back at the Regulatory Compliance & Technology Trends of 2018
2018 may be behind us, but there’s still time to learn valuable lessons from the key trends of the prior year. In a recent webinar, Robert Cruz, Senior Director of Information Governance at Smarsh, was joined by Mike Pagani, Smarsh Chief Evangelist, to discuss how the business communications landscape has evolved throughout the year, and…
The complexity of implementing MiFID II and GDPR
Complying with new regulations always creates challenges for a business, but the difficulties increase rapidly when two major changes happen at the same time. This is the situation facing financial services firms today. Not only are they in the process of implementing the latest version of the Markets in Financial Instruments Directive (MiFID II) but…
Communications Compliance Review in 2018:
The review of employee communications for possible compliance policy violations has never been more important – and more complex. The complexity is being driven by the adoption of new communications tools that offer richer, more dynamic, and more effective means of collaborating with embedded voice, messaging, and app sharing capabilities. The days of attempting to…
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Learn more about the Supervision app - to help regulated firms meet compliance requirements.Solutions that solve modern compliance challengesSmarsh for Compliance For compliance professionals, electronic communications are often ...
Actiance, IDG Survey: Security and Compliance Are Increasingly Intertwined
Redwood City, Calif., Feb. 21, 2018 – Actiance, the leader in communications compliance, archiving, and analytics, today announced results of a survey which illustrates the increasing intersection of security and compliance. The study, conducted in partnership with IDG Research, found that nearly all key tech stakeholders agree on the importance of cross-functional collaboration in managing risk and the…
MiFID II is now in Effect, but will It Conflict with the Upcoming GDPR?
Thanks to the Markets in Financial Instruments Directive (MiFID II), which went into effect at the beginning of the year, banks and other highly regulated industries will be recording and archiving all communication made by phone, email, social media, unified communications, encrypted messaging and any other medium used to correspond with clients for at least five years.…
MiFID II Electronic Communications Checklist
Regulatory changes brought about by MiFID II’s enactment on 3 January require firms to make comprehensive adjustments to a wide range of their policies and procedures. Given the magnitude of the changes, there remains a significant chance for overlooked gaps in compliance especially in a firm’s electronic communication controls. This checklist will help whether…
The Year for Action: 5 Electronic Communications Security & Compliance Trends for 2018
In 2017 we saw an injection of corporate spend and significant planning in preparation for addressing regulations coming into effect in 2018 – specifically, MiFID II and GDPR. As well, an ever-increasing demand for more effective and efficient electronic communications compliance engendered new levels of focus on how Fintech technology can help. No matter the political climate we…
MiFID II: Are you Ready to Record?
To help financial organisations gain a greater understanding of MiFID II communications retention and oversight requirements, Smarsh partnered with Womble Bond Dickinson in the fall of 2017 for a panel on the new requirements, with practical strategies for compliance implementation. With over 20 years’ experience specialising in financial services regulation, Emma Radmore of Womble Bond…
It’s Finally Here: MiFID II Takes Center Stage
We’ve finally arrived at the day when MiFID II has taken hold of the EU banking community – and we’ve seen the results of many firms not being ready for its arrival. So, after the first day of trading under MiFID II … the financial world did not explode. Trading volumes around EU markets were…
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