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Smarsh

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  • Top 5 Supervisory Failures and How to Avoid Them
    Top 5 Supervisory Failures and How to Avoid Them
    MARIANNA SHAFIR, Corporate Counsel and Regulatory Advisor, Smarsh; ROBERT CRUZ, Senior Director of Information Governance, Sm Recorded: Nov 7 2018 61 mins
    You've seen the headlines:
    • SEC Fines Citi $10.5 Million for Inaccurate Records and Supervision Violations
    • New York Broker-Dealer Fined $1.25 Million by SEC
    • Brokers Face Over $80,000 in Avoidable Fines

    And, that is just in the last 5 months!

    Today, compliance officers at broker-dealer and investment advisory firms are challenged by supervisory review like never before. The SEC/FINRA/IIROC scrutiny over supervisory practices has never been higher, while many firms continue to rely upon supervisory tools that were designed for email over a decade ago.

    Join this webinar with Corporate Council and Regulatory Advisor, Marianna Shafir, Senior Director, Information Governance Practice, Robert Cruz, and Principal, Information Governance Practice, Greg Breeze to:

    •Review a sampling of recent supervisory mishaps
    •Discuss of best practices to address FINRA priorities
    •Dive into how Smarsh can help address your supervisory needs
  • Financial Crimes and FINRA’s Increased Focus on High-Risk Brokers
    Financial Crimes and FINRA’s Increased Focus on High-Risk Brokers
    Sonali Bhavsar, Associate Partner, Watson FSS Industry Platforms & Robert Cruz, Sr Director, Information Governance Practice Recorded: Oct 18 2018 52 mins
    Over the past several years, FINRA has continued to demonstrate their focus on monitoring high-risk brokers. In 2017, FINRA approved new proposals to strengthen controls on high-risk brokers and further indicated it would be an ongoing priority in their 2018 Priorities Letter.

    FINRA and other regulators have announced the expectation of firms to adopt practices of “heightened supervision” in an attempt to isolate high-risk brokers and activities. These activities are often associated with financial crimes, which have become even more difficult to identify and intercept given today’s volume and variety of communications data.

    Watch this webinar featuring Sonali Bhavsar, Associate Partner, Watson FSS Industry Platforms at IBM, to learn:

    - What “heightened supervision” means for today’s communications compliance realities.
    - The challenges and the potential risks hidden inside of today’s non-email communication channels.
    - How Smarsh and IBM can deliver surveillance insights from supervised content.
  • Compliant Productivity: Leveraging Today’s Mobile and UC Channels
    Compliant Productivity: Leveraging Today’s Mobile and UC Channels
    Mike Pagani, Chief Evangelist, Smarsh; Robert Cruz, Senior Director of Information Governance Practice, Smarsh Recorded: Sep 12 2018 50 mins
    As new electronic communication tools like instant messaging, social media, and text messaging have emerged, many highly regulated organizations have tried to prohibit their use at work. Meanwhile, employees in every industry are increasingly using their mobile devices and today’s unified communications and collaboration platforms to work on the go – tools like Microsoft Teams, Symphony, and Cisco Webex Teams.

    At the speed these channels are being adopted, forward-thinking organizations must take steps to enable both compliance and productivity – rather than choosing one or the other.

    Watch this webinar to discover how your organization can take proactive steps to enabling compliant productivity using today’s most in-demand communication and collaboration tools.

    In this webinar you will learn:

    - What compliant productivity means for you and your organization.
    - Why more organizations are enabling their employees to communicate and collaborate using modern tools.
    - Best practices for enabling productivity while fulfilling your organization’s record keeping obligations.

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