A Year in Review: A Look Back at the Regulatory Compliance and Technology Trends

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Presented by

Robert Cruz, Smarsh; Marianna Shafir, Smarsh; Elin Cherry, Elinphant, L.L.C.

About this talk

Over the course of 2019, shifts in communication technology and the regulatory landscape delivered several significant changes to the financial services industry. Emerging mobile, social and collaborative technologies create huge risks for companies trying to keep up with the regulated landscape. Join Elin Cherry from Elinphant, L.L.C. with Robert Cruz and Marianna Shafir from Smarsh as they cover: - Key themes that emerged from FINRA enforcement actions in 2019 - How social, mobile, and collaborative communications impacted 2019 activities - What we can expect from regulators in 2020
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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.