Over the course of 2019, shifts in communication technology and the regulatory landscape delivered several significant changes to the financial services industry. Emerging mobile, social and collaborative technologies create huge risks for companies trying to keep up with the regulated landscape.
Join Robert Cruz and Marianna Shafir from Smarsh on December 17 as they cover:
- Key themes that emerged from FINRA enforcement actions in 2019
- How social, mobile, and text communications impacted 2019 activities
- What we can expect from regulators in 2020
Vice President, Information Governance Solutions
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.
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.