On-Demand Webinar

How to Supervise Your Suddenly-Remote Broker-Dealers & Investment Advisers

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The global Coronavirus (COVID-19) outbreak has caused many firms to quickly adjust to the realities of a remote workforce.

For firms that must adhere to SEC and FINRA supervisory review obligations, this can raise a number of new challenges that did not exist when registered reps were simply across the aisle or up a floor.

Watch this on-demand webinar where we discuss:

  • How can you determine if your supervisory process works equally well for remote and on-site locations?
  • Do your policies properly reflect the location of your supervised users?
  • What new technologies are required, and how can you manage the possible introduction of regulatory, security, or privacy risks?
  • What additional training should supervisors and registered reps be provided to ensure everyone is clear on the rule governing remote work?

Panelists

Robert Cruz

Senior Director of Information Governance, Smarsh
Robert Cruz 800x800

Robert Cruz

Senior Director of Information Governance, Smarsh

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.

Marianna Shafir

Regulatory Advisor, Smarsh
Marianna

Marianna Shafir

Regulatory Advisor, Smarsh

Marianna Shafir is Corporate Counsel and Regulatory Advisor at Smarsh, where she’s responsible for legal and regulatory affairs worldwide. With her expertise in financial services industry, compliance and eDiscovery, Marianna counsels Smarsh clients on meeting regulatory obligations, leveraging technology and guidance on best practices related to electronic communications supervision. Prior to joining Smarsh, Marianna worked for BNY Mellon and Invesco where she was an instrumental member on compliance teams.Marianna has also served as an adjunct professor at New York Career Institute where she taught Law Office Management and Real Estate Law. She earned her Juris Doctorate from Nova Southeastern University. She is a frequent speaker at industry conferences and a contributor to various online publications.

Elin Cherry

Founder and CEO, Elinphant, L.L.C.
elin cherry

Elin Cherry

Founder and CEO, Elinphant, L.L.C.

Elin Cherry is founder and CEO of Elinphant, L.L.C., a financial compliance consulting firm. She is a Capital Markets and Compliance Executive who has served as a key member of Compliance Senior Management teams. Known for gaining regulator confidence, she has a proven track record in managing regulatory relations and examinations and has strengthened firm’s credibility with regulators during times of financial stress. Elin is adept at successfully implementing Compliance Programs to enable firms to be proactive regarding compliance matters. Prior to founding Elinphant, Elin was a Principal and the Head of Capital Markets at Compliance Risk Concepts (“CRC”). In that role, she grew a book of business generating half a million dollars in revenue.