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

The Government Social Media Survival Guide | Smarsh

Why does public sector need social media to communicate? Public sector organizations have a lot to offer the communities they serve through social media. Updates on your website or items on your city council meeting agenda can now foster real-time interaction with your constituents. Imagine using your Facebook page to enhance the search for missing [...]

December 8th, 2018|Smarsh|0 Comments

Instagram for Financial Services Firms

Instagram: A Picture is Worth A Thousand Words. In a recent article published by Money Inc., Mike Pagani, Senior Director of Product Marketing and Chief Evangelist at Smarsh, argues that the explosive growth of popular photo-sharing social media platform Instagram offers Financial Services firms an opportunity unlike any other. Instagram, Pagani points out, has more active [...]

November 7th, 2018|Smarsh|0 Comments