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