Practical Advice for Information Governance and Off-Channel Communications Compliance
The recent regulatory focus has been centered on large financial institutions using prohibited (or off-channel) communication tools. At its core, the discussion here is how firms can be more effective in identifying and remediating the challenges around information governance.
Tool prohibition or elevation? Organizations are tasked with determining which communications tools they need to support ...
CFTC Steps Up Mobility Enforcement in Swaps Market
The Commodities Futures Trading Commission (CFTC) issued charges against a global investment bank
for failing to properly retain audio files recorded from mobile devices related to their swaps business. Previous attempts to address the issue via a variety of third-party and home-grown technologies failed, resulting in the loss of thousands of calls. The relatively small $5.5 million fine reflec...
Cognition Studio 3.0 Release Makes It Easier to Detect Risk
The recent release of the Smarsh Cognition Studio 3.0 has enabled customers to use real-world data from their production environment. With this release, customers can rapidly and robustly prototype and evaluate the analytic components they have designed to detect risk behavior. In Cognition Studio, these components are referred to as skill blocks. Skill blocks that are brought together in combina...
Compliance Made Easy: Web Archive
Compliance Made EasySmarsh Web ArchiveEnhance your compliance posture with daily captures of your website changes.The compliance landscape is constantly evolving. With steady, substantial developments such as the Marketing Rule, firms can't take compliance lightly. Smarsh can help safeguard your business by tracking changes to your website to demonstrate compliance.
Best Practices in Public Record Response
Content based on the webinar: Public Record Response - Best Practices in 20 Minutes by
Bryan Pierre, Public Administration Program Manager, TD Synnex Public Sector and Robert Cruz, VP, Information Governance Solutions, Smarsh.
Government agencies today communicate and engage with their constituents in new and innovative ways. However, agencies must still respond to public recor...
The Evolving Data Privacy Landscape: Trends in Data Privacy Laws
This guest post is written by Bill Tolson, President of Tolson Communications LLC, an advisory and consulting firm. He has more than 25-plus years in the archiving, information governance, data privacy, data security, and e-discovery industries. Bill has held executive leadership positions in a wide range of high technology organizations — from consulting firms and technology startups to multi...
Smarsh Named to Inc. 5000 for 16th Straight Year
SMARSH NAMED TO INC. 5000 FOR 16TH STRAIGHT YEAR Prestigious annual ranking of the most successful private companies in America spotlights 3-year revenue growth of 141% at Smarsh PORTLAND, Ore. (August 15, 2023) – Smarsh®, the global leader in digital communications compliance and intelligence, today announced that it has been named to the Inc. 5000…
Vital Compliance Considerations for Collaboration Technologies
Content based on the webinar: Compliance Quick Hits – Collaboration Tools in 20 Mins by Elin Cherry, CEO, Elinphant, LLC and Tiffany Magri, Regulatory Compliance Advisor, Smarsh.
In a modern, hybrid-workplace where many employees now work remotely, collaboration technologies — like Microsoft Teams, Slack, and Zoom — have become a central part of business communications. From a comp...
Avoiding Social Media Advertising and Marketing Compliance Missteps
Social media platforms have become popular for financial services firms and investment advisers to engage with clients, prospective clients and investors. But failing to understand the regulatory rules as they apply to social media marketing and advertising practices could open the firm to compliance risk and reputational damage.
In our recent webinar, Compliance Quick Hits – So...
CFTC Forms Cybersecurity and Emerging Technologies Task Force
The Commodity Futures Trading Commission (CFTC) has announced
the establishment of a dedicated task force known as the Cybersecurity and Emerging Technologies Task Force within its Division of Enforcement. This task force has been created to address the critical concerns surrounding cybersecurity and emerging technologies, including artificial intelligence.
The CFTC recognizes the need to be...
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