Now that FINRA & the SEC have released their 2019 priorities letters, we can take a closer look at some of the trends in 2018 and what firms should prepare for in 2019.
In the letters, the regulators highlighted new focus areas like RegTech, while also doubling down on their existing priorities, reminding firms of the need to adopt comprehensive supervisory processes that will ensure compliance and exam preparedness.
Listen to Smarsh subject matter experts Marianna Shafir and Robert Cruz as they discuss:
- FINRA and SEC's new areas of focus around RegTech, supervision of digital assets, and online distribution platforms
- The continuation of existing priorities like maintaining proper governance and compliance practices for texting, social media, suitability, senior investors, and outside business activities
- How your firm can benefit from revisiting the systems and policies in place for supervision to gain efficiencies and be better prepared for exams in 2019
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.
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.