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Incident Response Notifications: How To Ensure Open Communication With Vendors

Vendors who develop and sell software, hardware, and infrastructure have a responsibility to notify your company about IT environment incidents, events, and failures. Incident response notifications should allow for open communication when a security threat or potential threat takes place, enabling you to take swift action and protect your data assets. Unfortunately, not all vendors abide ...

Hold the Phone: How State & Local Governments Manage Mobile Records

Webinar BriefHold the PhoneHow State & Local Governments Manage Mobile Records The way government workers communicate has evolved with technology and the office culture. Email is no longer the de facto form of communication in the public sector, and collaboration is often done over the phone with text messages and mobile apps. In this guide, government organization leaders can learn: How ...

FINRA Increases Scrutiny of Brokers’ Text Messaging for Business

Misuse of prohibited channels FINRA suspended a broker for 45 days and issued a fine of $7,500 for using his personal cell phone to communicate with customers. From June 2018 to April 2020, the broker sent business-related texts to two customers without approval or supervision by the firm, according to a settlement finalized earlier this month. The text messages discussed account performance, tr...

1H’22 Roundup: Capture 100+ Channels and Expand Hybrid Work Environment Capabilities

2021 Midyear Product RoundupCapture enhancements, platform improvements and customer success expansion Periodically we publish the highlights of new Smarsh product developments to keep you in the know. In the first half of 2021, our product development team delivered a variety of new product features derived from direct customer input about current and future needs. Read on for a high-level o...

How can FSIs ensure compliance as channels of communication evolve?

How can FSIs ensure compliance as channels of communication evolve?In this podcast episode, Smarsh EMEA Principal Regulatory Advisor, Shaun Hurst, and Senior Director of Data Science, Dr Kevin Keenan, join FStech Content Editor Will McCurdy to discuss how AI and machine learning can help FS firms to sift through their metadata that is ever-growing, with new communication channels emerging more oft...

5 Steps to an Effective Vendor Due Diligence Program for Financial Services

Imagine the scene: After months of searching, you've finally found a technology solution that seemingly fits your needs. You've consulted with the software's vendor, sampled a product demo, and got buy-in from stakeholders. At this point, the vendor might present a contract to sign so they can start integrating the software into your system. But while the vendor has a good product, how sec...

How Data is Changing the 1st Line of Risk & Control Function

ReportHow Data is Changing the 1st Line of Risk & Control Function When asked to identify their most significant concerns about the current operating model for first line risk and control, 58% of respondents cited the broadening scope of risks to be covered. This has important implications for the first line of defence — in terms of responsibilities, relationships with other lines, technology an...

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The Surveillance Leaders Network Forecast 2022

ReportThe Surveillance Leaders Network Forecast 2022 Recent U.S. enforcement actions have highlighted the difficulties banks face in surveilling the communications channels and asset classes regulators demand. The fines reveal failings across the surveillance process, from data capture to overall culture, and emphasise that skimping on surveillance is a false economy. In this report, you’ll l...

Voice Surveillance Forecast 2022

ReportVoice Surveillance Forecast 2022 The need for next-generation voice surveillance programmes is becoming ever more urgent. Significant enforcement actions and a more transparent regulatory stance have shown the importance of getting this right, particularly at a time of increasing cost pressures and advances in technology. Yet many banks have barely begun to address the issue. “Ther...

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