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...
CFTC’s 2022 Enforcement Results Highlight Recordkeeping and Supervision
The Commodity Futures Trading Commission (CFTC) recently released its annual enforcement results
. From its 82 enforcement actions filed in fiscal year 2022, $2.5B in restitution, disgorgement and civil monetary penalties were imposed.
"In the face of unprecedented financial market conditions directly impacting American consumers, emerging technological disruption, and growing retail investo...
Smarsh and Exterro Announce Partnership to Optimize the E-Discovery Process and Reduce Costs of Key Cycles for Legal Teams
Smarsh and Exterro Announce Partnership to Optimize the E-Discovery Process and Reduce Costs of Key Cycles for Legal Teams Modern digital communications channels continue to proliferate, creating new challenges for e-Discovery teams. This partnership enables investigative teams to advance how businesses are getting work done today. PORTLAND, Ore. (October 26, 2022) – Smarsh, a global…
AI-Powered Risk Management: Making the Case to Regulators
Custom title- Disable "post title"Custom subtitle title- Delete if not usingSubscribe to the Smarsh Blog DigestSubscribe to receive a monthly digest of articles exploring regulatory updates, news, trends and best practices in electronic communications capture and archiving.FOLLOW USff-font-awesome4 icon-facebook-fff-font-awesome4 icon-twitterff-font-awesome4 icon-linkedin The New Smarsh Enterprise...
The Modernization of SEC Rule 17a-4
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As you’ve most likely heard by now, the SEC released its final update to the SEC 17a-4
immutable storage requirement late last week. While there are plenty of details to unpack across 147 pages, here is a quick take-away of the changes and potential impact.
What changed and why The immutable storage rule was modified to allow for the use of audit trail appro...
Compliant Advertising: The Marketing Rule and Finfluencers
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I recently had the opportunity to speak with expert compliance professionals Elin Cherry, CEO & Founder of Elinphant, LLC and Annie Kong, Managing Director of IQ-EQ. We discussed the new SEC Marketing Rule, which expands on the current books and records rule (Advisers Act Rule 204-2). The new rule continues to allow advisers to provide useful information to investors w...
FINRA Fines Doubling for Mid and Large Firms
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With historically high fines being levied for failures to retain and supervise electronic communications across some of the largest financial firms, you may be wondering how fine amounts are decided. On an annual basis FINRA's National Adjudicatory Council (NAC) develops and publishes FINRA Sanction Guidelines
to assist FINRA's adjudicators in imposing a range of sanct...
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