$1.1B in WhatsApp & Mobile Fines.
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
- Ish Manzanares, Sr. Director, Consulting, NRS
- Matt Cohen, Partner, Investment Funds, Kirkland and Ellis
- Robert Cruz, VP of Information Governance, Smarsh