You've seen the headlines:
- SEC Fines Citi $10.5 Million for Inaccurate Records and Supervision Violations
- New York Broker-Dealer Fined $1.25 Million by SEC
- Brokers Face Over $80,000 in Avoidable Fines
And, that is just in the last 4 months!
Today, compliance officers at broker-dealer and investment advisory firms are challenged by supervisory review like never before. The SEC/FINRA/IIROC scrutiny over supervisory practices has never been higher, while many firms continue to rely upon supervisory tools that were designed for email over a decade ago.
Listen to Corporate Council and Regulatory Advisor, Marianna Shafir, Senior Director, Information Governance Practice, Robert Cruz, and Principal, Information Governance Practice, Greg Breeze to:
- Review a sampling of recent supervisory mishaps
- Discuss of best practices to address FINRA priorities
- Dive into how Smarsh can help address your supervisory needs
Corporate Counsel and Regulatory Advisor
Marianna Shafir is Corporate Counsel and Regulatory Advisor at Smarsh, where she’s responsible for legal and regulatory affairs worldwide. In addition, she helps Smarsh clients navigate compliance obligations, technology trends, and new industry regulations through her vast knowledge of best practices related to electronic communications supervision. Prior to joining Smarsh, she worked for BNY Mellon and Invesco in varying compliance roles.
Senior Director of Information Governance
Robert Cruz is Senior Director of Information Governance for Smarsh and Actiance. He has more than 20 years of experience in providing thought leadership on emerging topics including cloud computing, information governance, and Discovery cost and risk reduction.
Principal, Information Governance Practice
Gregory Breeze has over 25 years' experience in IT, focused primarily on data management and information governance solutions. He currently assists Smarsh enterprise customers to solve complex governance, risk and compliance challenges. Greg previously held Subject Matter Expert and Director-level technologist positions with HP/Autonomy, Iron Mountain Digital and Mimosa Systems. Greg’s expertise in compliance, retention management and eDiscovery began by helping leading storage vendors bring object-based platforms to market.