Top 5 Supervisory Failures and How to Avoid Them

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Presented by

MARIANNA SHAFIR, Corporate Counsel and Regulatory Advisor, Smarsh; ROBERT CRUZ, Senior Director of Information Governance, Sm

About this talk

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

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For more than two decades, Smarsh has provided its clients with industry-leading technology that allows them to manage the risk and see the value in their communications data. Our capture, archiving, supervision and e-discovery solutions enable our customers to focus on innovation and growth, while seamlessly dealing with communications compliance.