On-Demand Webinar

Smarsh Risk & Compliance Survey Report: The Year of Operational Disruption & Digital Transformation

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The Smarsh Annual Risk & Compliance Survey revealed the communications compliance trends that surfaced in a year of unprecedented disruption and a resulting shift to collaborative, conferencing and mobile tools to get our jobs done.

How did this sudden shift impact compliance teams? Listen as Smarsh Founder and Chairman Steve Marsh, Mimi LeGaye from M&L Consulting and Vice President of Information Governance Robert Cruz explore the results of our recent survey.

Watch this on-demand webinar as we discuss:

  • How the survey reflects changes in the way that financial services firms are doing business
  • The compliance gaps that have arisen during the shift to work from home
  • What firms can do to proactively leverage today's communications and collaboration solutions

Panelists

Stephen Marsh

Founder and Chairman, Smarsh
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Stephen Marsh

Founder and Chairman, Smarsh

Steve Marsh founded Smarsh in 2001. Before founding Smarsh, Stephen led product management and development efforts at CCBN, now a division of Thomson Financial, and spent time in key roles at Fidelity Investments and Morgan Stanley Dean Witter. He was the recipient of the 2018 Technology Association of Oregon’s Sam Blackman Award, which honors Oregon’s top technology executive. In 2014, Stephen was named FTF News’ FinTech Person of the Year.

Mimi LeGaye

President, MGL Consulting, LLC
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Mimi LeGaye

President, MGL Consulting, LLC

Melinda (Mimi) G. LeGaye serves as President of MGL Consulting, LLC. Ms. LeGaye has 35-plus years’ experience representing the interests of small broker-dealers, having held the positions of president, CCO and FINOP for several small broker-dealers over the years. In addition to her role at MGL, she currently serves as President and CCO of Moody Securities, LLC and as FINOP and a registered principal for RCX Capital Group, LLC. Ms. LeGaye also serves as a Small Firm Member on FINRA’s SE Regional Committee.

Robert Cruz

Vice President of Information Governance, Smarsh
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Robert Cruz

Vice President of Information Governance, Smarsh

Robert Cruz is Vice President of Information Governance at Smarsh. 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.