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Compliant Productivity: Leveraging Today’s Mobile and UC Channels

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.
Recorded Jan 24 2019 50 mins
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Presented by
Mike Pagani, Chief Evangelist, Smarsh; Robert Cruz, Senior Director of Information Governance Practice, Smarsh
Presentation preview: Compliant Productivity: Leveraging Today’s Mobile and UC Channels

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  • Channel
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  • Must-Know FINRA Trends & the Impact on Compliance Aug 29 2019 5:00 pm UTC 57 mins
    ROBERT CRUZ, Smarsh; MARIANNA SHAFIR, Smarsh; MIMI LEGAYE, MGL Consulting; MARTY COLBURN, Cloud Partners
    With continued FINRA enforcement reorganization and the SEC adopting new rules to prevent broker conflicts, firms must ensure they are keeping up with these latest trends.

    This webinar will cover the latest regulatory guidance around communications governance, the role of RegTech in today’s modern Financial Services organization, and its impact on compliance programs.
  • Assessing the Benefits and Risks of Today's Collaboration Tools Recorded: Aug 15 2019 52 mins
    ROBERT CRUZ, Smarsh; BRIAN HILL, Wellington Consulting
    Collaboration tools are helping organizations save time and work together while reaching a broader audience. The potential risks associated with these dynamic channels are what firms need to be prepared for. In this webinar, we will go over the advantages to giving employees the tools they need to communicate and how to use technologies to help mitigate the risk these dynamic communication tools create.
  • Collaboration & E-Discovery: Addressing the Challenge of Interactive Content Recorded: Jun 27 2019 61 mins
    ROBERT CRUZ, Smarsh; BRANDON LEATHA, Smarsh
    Workplace communications are rapidly evolving. With collaboration tools like Slack and Teams, conversations have become much more complex. The challenges associated with these dynamic communications can be extremely difficult to navigate, and it's important that organizations possess the agility to modernize their e-discovery processes.
  • Financial Crimes and FINRA’s Increased Focus on High-Risk Brokers Recorded: Jun 6 2019 51 mins
    Sonali Bhavsar, Associate Partner, Watson FSS Industry Platforms & Robert Cruz, Sr Director, Information Governance Practice
    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.
  • Top 5 Supervisory Failures and How to Avoid Them Recorded: May 30 2019 60 mins
    MARIANNA SHAFIR, Smarsh; ROBERT CRUZ, Smarsh; GREGORY BREEZE, Smarsh
    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
  • Top FINRA Enforcement Issues and Trends of 2018 with Eversheds Sutherland Recorded: May 16 2019 61 mins
    Adam Pollet, Eversheds Sutherland; Brian Rubin, Eversheds Sutherland; Marianna Shafir, Smarsh
    While disciplinary actions may have declined, FINRA's fines per case have been increasing. By focusing on past regulatory actions such as anti-money laundering and suitability - problems which generated the greatest number of fines in 2018 - firms can learn to avoid the same pitfalls in the future.
  • Top 5 Supervisory Failures and How to Avoid Them Recorded: Jan 31 2019 61 mins
    MARIANNA SHAFIR, Corporate Counsel and Regulatory Advisor, Smarsh; ROBERT CRUZ, Senior Director of Information Governance, Sm
    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
  • Compliant Productivity: Leveraging Today’s Mobile and UC Channels Recorded: Jan 24 2019 50 mins
    Mike Pagani, Chief Evangelist, Smarsh; Robert Cruz, Senior Director of Information Governance Practice, Smarsh
    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.
  • Building the Compliant Mobile Ecosystem Recorded: Dec 27 2018 56 mins
    MIKE PAGANI Chief Evangelist, Smarsh, and BRIAN PANICKO Vice President of Mobility Strategy
    Mobile devices are enabling firms to be more connected and productive than ever before. However, regulatory obligations and an unfamiliar compliant mobile technology stack mean that many firms continue to hold back from enabling their employees to use mobile messaging for business.

    Using mobile messaging to reach and attract younger, mobile-centric clients and advisors is becoming more necessary to adapt and stay competitive, and for forward-thinking firms, now is the time to learn how to build an effective mobile compliance program.
  • Best Practices for Proactive Supervision and Examination Readiness Recorded: Dec 20 2018 64 mins
    CHERYL RITCHEY VP, Compliance Group Manager, BBVA Securities Inc., MIKE PAGANI Chief Evangelist, Smarsh
    With more options for communicating than ever before, leaving your firm’s regulatory compliance to chance with a policy of prohibition isn’t enough.

    As a proven compliance expert, Cheryl Ritchey of BBVA Compass has developed a proactive approach to supervision that enables her to be a pioneer in compliance as channels like web, collaboration platforms, instant messaging, and text messaging become a bigger part of the workplace.
  • Findings from the 2018 Electronic Communications Compliance Survey Recorded: Dec 13 2018 59 mins
    MARIANNA SHAFIR, Corporate Counsel and Regulatory Advisor; MIKE PAGANI, Chief Evangelist; KEN ANDERSON, VP, Marketing
    In the 2018 Electronic Communications Compliance Survey, we uncovered the greatest challenges facing compliance professionals today. Survey responses indicate that shifting workplace and investor demographics are driving firms to new communication channels, but their supervision policies and tools are struggling to keep pace.

    Join this webinar to dive into the key findings from this year's survey, including why:

    Mobile and social still present challenges for most firms
    Confidence in the efficacy of prohibition policies is low
    Firms are looking for risk in all the wrong places
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  • Title: Compliant Productivity: Leveraging Today’s Mobile and UC Channels
  • Live at: Jan 24 2019 6:00 pm
  • Presented by: Mike Pagani, Chief Evangelist, Smarsh; Robert Cruz, Senior Director of Information Governance Practice, Smarsh
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