Over the course of 2018, shifts in communication technology and the regulatory landscape delivered several significant changes to the financial services industry.
FINRA and the SEC ramped up their focus on high-risk brokers and misleading offerings, and many states and countries strengthened their consumer data protection laws. Meanwhile, compliance and information technology teams continue to grapple with the impact that mobile devices and technologies like Microsoft O365 and Slack are having on their firms.
Join Smarsh subject matter experts Mike Pagani and Robert Cruz as they discuss:
- FINRA's escalating focus on high-risk brokers and misleading offers
- The adoption of persistent, mobile-friendly communication technologies
- The strengthening of consumer data protection laws
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.
Mike Pagani is Senior Director of Product Marketing and Chief Evangelist at Smarsh. He is a seasoned IT professional and recognized subject matter expert in the areas of mobility, identity and access management, network security and virtualization. In his role, Mike also works with industry regulators, such as the SEC and FINRA, to keep customers and partners informed of the latest developments and requirements related to electronic communications compliance.