On-Demand Webinar

Regulatory Alert!
$1.1B in WhatsApp & Mobile Fines.
Now What?


Failing to abide by SEC rules? They will find you, and fine you. Don't get caught by surprise. In this webinar, experts unpack the record-breaking SEC fine and how to immediately prepare for what's next. Learn more about the fines, industry response and what steps firms should take now.

In this session, we'll cover:

  • How to identify blind spots, gaps and cracks in your recordkeeping processes and technology
  • Next steps you can take now to ensure your recordkeeping strategy isn't exposing you to risk
  • How to self-remediate any deficiencies and implement measures to prevent future violations

Featured presenters:

  • Ish Manzanares, Sr. Director, Consulting, NRS
  • Matt Cohen, Partner, Investment Funds, Kirkland and Ellis
  • Robert Cruz, VP of Information Governance, Smarsh

Watch the recording