Must-Know FINRA Trends & the Impact on Compliance

On Demand

With continued FINRA enforcement reorganization and the SEC adopting new rules to prevent broker conflicts, firms must ensure they are keeping up with these latest trends.

This webinar will cover the latest regulatory guidance around communications governance, the role of RegTech in today’s modern Financial Services organization, and its impact on compliance programs.

Join this live webinar with Smarsh on June 25th to learn more about:

  • FINRA's increased focus on RegTech
  • The role of RegTech in financial services today and in the future
  • How firm's can adjust compliance programs to reflect industry changes and mitigate risk

Watch now

 

Panelists

Robert Cruz

Senior Director of Information Governance, Smarsh
Robert-Cruz

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

Corporate Counsel, Smarsh
Marianna

Marianna Shafir

Corporate Counsel, 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.

Melinda (Mimi) G. LeGaye

President, MGL Consulting, LLC
Mimi LeGaye headshot 002

Melinda (Mimi) G. LeGaye

President, MGL Consulting, LLC

Melinda (Mimi) G. LeGaye, serves as President of MGL Consulting, LLC. Ms. LeGaye has 30 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.

Marty Colburn

Chief Technology Officer, Cloud Partners
Marty Colburn Headshot

Marty Colburn

Chief Technology Officer, Cloud Partners

Marty is currently serving as a managing partner and Chief Technology Officer at Cloud Partners.  He previously served as NASD/FINRA Executive Vice President and Chief Technology Officer from 2001 to 2013. He led the development of the organization’s technology strategy, including application development, maintenance, architecture and operations. As a member of FINRA’s operating committee, he successfully linked the technology strategy to the regulator’s mission and business plan, and implemented it across FINRA. Marty currently serves on several advisory boards at technology companies, and is a frequent speaker at industry conferences and roundtable events.