Predictions: A Close Look Back at 2023 and What’s on the Horizon for 2024
As we bid farewell to 2023, we turn our gaze toward the horizon of 2024. The financial services landscape stands at the intersection of a transformative digital era and the reflections of the disruptions witnessed in the past year. Against the backdrop of global market dynamics, a surge of off-channel fines, and heightened regulatory pressures, compliance teams find themselves navigating existing...
What’s the State of Canada’s Data Privacy Bill C-27?
In today’s constantly evolving digital landscape, individuals' personally identifiable information (PII) has become a significant target for cyber thieves.
Since the EU’s General Data Protection Regulation (GDPR) became law in 2018, many organizations have worried about what the future would hold for companies as more and more governments passed different data privacy laws.
Comp...
Form ADV Amendments: Frequently Asked Questions (FAQ) for RIAs
Registered investment advisers (RIAs)
must file a Form ADV
, otherwise known as the “Uniform Application for Investment Adviser Registration and Report Form by Exempt Reporting Advisers,” when first registering with the Securities and Exchange Commission (SEC) or state securities authorities. The Form ADV must also be updated and re-filed each year thereafter.
Amendments to Form ADV...
Gartner Digital Communications Governance Market Report
ReportNovember 2023 Gartner Market Guide for Digital Communications Governance ReportSmarsh makes it easier to analyze communications data, according to GartnerSmarsh is named a Representative Vendor in the November 2023 Gartner Market Guide for Digital Communications Governance. Download a copy to learn why. GET THE GUIDE Gartner, Market Guide for Digital Communications Governance, By Michael H...
BYOD or Corporate-owned Device: Which Policy Reigns Supreme?
GuideBYOD or Corporate Device: Which Policy Reigns Supreme?The answer every financial services firm needs to hear Mobile devices are integral to business operations. They empower employee collaboration with instant communication and allow customers to engage on their terms.
However, the use of mobile devices in regulated industries — particularly financial services
— raises signif...
Still No Federal Data Privacy Law: What Happened to the ADPPA?
The new age of data protection laws began on May 25, 2018, with the passing of the EU’s General Data Protection Regulation (GDPR) law. The GDPR is a comprehensive data privacy and security law that established a strict framework for the collection, processing, storage and transfer of personal data from EU citizens. One interesting aspect of the GDPR is that it extends beyond the EU’s borders,...
Generative AI Model Inputs: Implications for AI Regulatory Compliance
With the growing interest in AI, financial firms looking to jump on board must become more familiar with AI regulatory compliance. The governance of generative AI must include an examination of the inputs and outputs of large language models (LLM), as well as the algorithms and logic inside the models themselves.
Model inputs are an underappreciated area of analysis in the use of generative AI f...
Managing the Risks of Generative AI: Achieving Compliance Across Use Cases
The potential impact of generative AI on financial services is almost impossible to compute. While it is similar to traditional machine learning approaches that use sophisticated pattern matching, generative AI represents the first time machines can understand, generate and reason over human language. In short, it will completely change how we search, categorize, alert and investigate unstructure...
The Benefits of SaaS
White PaperThe Benefits of SaaSAddressing compliance complexity with cloud-native infrastructure Technology is advancing, data is growing and regulations are evolving — and financial institutions need to keep up.
Remaining compliant with your data requires a scalable storage solution. While using a SaaS platform helps firms tackle an abundance of data on tight budgetary restraints, choosi...
Professional Archive 2023 Recap
As regulatory demands increase, Smarsh has you covered with a host of releases within the Professional Archive platform. In 2023, we made workflows easier, more efficient and more reliable so you can save time while improving your compliance posture.
To enable you to see data faster, eliminate blind spots and demonstrate your compliance, Professional Archive enhancements included:
Four i...
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