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Disrupted Communications: Surviving the EOL of Your Old Communications Tools

Communications technology is changing more rapidly than ever before, and any firm hoping to stay on top of its compliance responsibilities must possess the agility to quickly react to this whirlwind evolution. For compliance teams, the goal is to reduce the risk of interruptions in recordkeeping oversight as much as possible — which can be [...]

April 9th, 2019|Smarsh|0 Comments

Five Lessons to Learn from MiFID II

Last year was a landmark year for regulatory change across the European financial services industry. The Markets in Financial Instruments Directive II (MiFID II) came into force on January 3 2018. And with the General Data Protection Regulation introduced just four months later, it has been a busy year for European businesses trying to stay on [...]

February 27th, 2019|Smarsh|0 Comments

SEC Targets Robo-advisers’ Social Media Violations

The Securities and Exchange Commission (SEC) recently fined two robo-advisers, Wealthfront Advisors LLC (Wealthfront) and Hedgeable Inc. (Hedgeable), for social media pitfalls. The proceedings are the SEC’s first enforcement actions against robo-advisers, which provide automated, software-based portfolio management services. Both companies were charged with violating rules on recordkeeping, antifraud, advertising, and compliance. The SEC fined the second biggest [...]

February 12th, 2019|Smarsh|0 Comments

Best Practices for stopping Risk in its tracks

As business communications continue to evolve to include modern channels such as instant messaging and collaboration platforms, so too must businesses evolve to effectively manage risk. In a recent webinar, Smarsh Chief Evangelist Mike Pagani sat down with Senior Director of Information Governance Robert Cruz to discuss how the best practices for stopping risk have [...]

December 12th, 2018|Smarsh|0 Comments

Public Sector Guide to Text Message Policy and Retention | Smarsh

This guide contains practical steps that will help public sector organizations and departments develop a text message policy and retention strategy to protect against the risk involved with use of this popular, universal form of communication. Public sector organizations need communications and recordkeeping policies that protect them against the risk that comes with new forms [...]

December 8th, 2018|Smarsh|0 Comments