On-Demand Webinar

Compliance and Technology: A Supervision Survey from Industry Professionals

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Topics Covered:

  • How your firm’s practices stand in regard to the industry’s most common procedures
  • What areas of your procedures should be re-examined and how often you should review and update them
  • How you can better use technology to make your reviews more effective and efficient

Financial services organizations are required by FINRA and SEC rules to review electronic correspondence to ensure that communications follow regulatory rules. But there is not a specific set of supervision procedures used by the industry. We recently surveyed compliance professionals on the topic to explore common practices, trends and concerns around the supervision of electronic communications. Join Marianna Shafir from Smarsh and Elin Cherry from Elinphant in this live webinar on June 25 to learn more about this topic.

Panelists

Marianna Shafir

Regulatory Advisor, Smarsh
Marianna

Marianna Shafir

Regulatory Advisor, Smarsh

Marianna Shafir Esq., is Regulatory Advisor for Smarsh. She has more than ten years of experience in providing thought leadership and client consulting on electronic communications, supervision, compliance obligations, emerging technology trends and new industry regulations. Marianna counsels Smarsh clients on meeting regulatory obligations, leveraging technology and guidance on best practices related to electronic communications supervision. Marianna is an accomplished speaker, author, blogger, including topics related to social media, regulatory compliance, information governance, and e-discovery. She has been a prolific contributor to leading industry publications including Bloomberg Law, Yahoo, Thomson Reuters, Kiplinger’s Personal Finance, Legaltech News, Corporate Compliance Insights, Risk Management Magazine and more. 

Elin Cherry

Founder and CEO, Elinphant, L.L.C.
Elin 800

Elin Cherry

Founder and CEO, Elinphant, L.L.C.

Elin Cherry is founder and CEO of Elinphant, L.L.C., a financial compliance consulting firm. She is a Capital Markets and Compliance Executive who has served as a key member of Compliance Senior Management teams. Known for gaining regulator confidence, she has a proven track record in managing regulatory relations and examinations and has strengthened firm’s credibility with regulators during times of financial stress. Elin is adept at successfully implementing Compliance Programs to enable firms to be proactive regarding compliance matters. Prior to founding Elinphant, Elin was a Principal and the Head of Capital Markets at Compliance Risk Concepts (“CRC”). In that role, she grew a book of business generating half a million dollars in revenue.