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The Time Is Now: Understanding the Mobile Landscape

Mobile devices allow companies to be more organized and productive than ever before. With the mobile landscape in constant flux, companies must understand how employees and clients are using their mobile devices and how to stay ahead of the risks associated with them.

Watch this webinar to learn more about:

•The current mobile landscape for business
•How organizations can use mobile technology to be more effective
•A real-world example of a mobility assessment
Recorded Mar 10 2020 61 mins
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Presented by
Robert Cruz, Sr Director, Smarsh; Brian Panicko, VP, Smarsh; Brandon Leatha, Founder and CEO, Leatha Counsulting LLC
Presentation preview: The Time Is Now: Understanding the Mobile Landscape

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  • Assessing the Benefits and Risks of Today's Collaboration Tools Recorded: May 21 2020 52 mins
    ROBERT CRUZ, Sr. Dir of Information Governance, Smarsh; BRIAN HILL, Principal, 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.

    Watch this webinar to learn more about:
    - How productivity and customer immediacy goals are driving investment in collaboration
    - How firms are managing new functionalities offered by Slack, Microsoft Teams, and Webex Teams
    - What new communications risks are introduced by interactive tools?
  • Must-Know FINRA Trends & the Impact on Compliance Recorded: May 20 2020 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.

    Join this webinar with Smarsh to learn more about:
    - FINRA's increased focus on RegTech
    - The role of RegTech in financial services today and in the future
    - How firm's can adjust compliance programs to reflect industry changes and mitigate risk
  • Data Privacy Laws: Where Do We Go From Here? Recorded: May 19 2020 60 mins
    Robert Cruz, Sr Director of Information Governance, Smarsh; Shaun Hurst, Principal, Information Governance Practice, Smarsh
    Data privacy laws are continually evolving and creating new risks for firms that are required to collect and store communications data. As many organizations now employ technology and service providers to collect, process, and store data they must be increasingly diligent in ensuring that their service providers are equipped to address any applicable data privacy laws.

    Watch this webinar to learn more about:
    - Data privacy laws are evolving and creating new complications for firms that are required to store communications data
    - How would the CCPA and other state privacy laws impact the way that archiving vendors manage your data?
    - What have we learned from GDPR and what is "privacy by design and default"
  • How to Supervise Your Suddenly Remote Broker-Dealers & Investment Advisors Recorded: May 14 2020 53 mins
    ROBERT CRUZ Sr. Dir of Information Governance, Smarsh; MARIANNA SHAFIR Regulatory Advisor, Smarsh; ELIN CHERRY CEO, Elinphant
    The global coronavirus (COVID-19) outbreak has caused many firms to quickly adjust to the realities of a remote workforce. For firms that must adhere to SEC and FINRA supervisory review obligations, this can raise a number of new challenges that did not exist when registered reps were simply across the aisle or up a floor.

    In this webinar, you'll learn how to answer these key questions:
    · How you can determine if your supervisory process works equally well for remote and on-site locations?
    · Do your policies properly reflect the location of your supervised users?
    · What new technologies are required, and how can you manage the possible introduction of regulatory, security, or privacy risks?
    · What additional training should supervisors and registered reps be provided to ensure everyone is clear on the rule governing remote work?

    Find out how to prioritize and minimize your biggest risks to ensure your business continues to thrive during this unusual time.
  • Data Privacy Laws: Where Do We Go From Here? Recorded: Apr 28 2020 60 mins
    Robert Cruz, Sr Director of Information Governance, Smarsh; Shaun Hurst, Principal, Information Governance Practice, Smarsh
    Data privacy laws are continually evolving and creating new risks for firms that are required to collect and store communications data. As many organizations now employ technology and service providers to collect, process, and store data they must be increasingly diligent in ensuring that their service providers are equipped to address any applicable data privacy laws.
  • The Time Is Now: Understanding the Mobile Landscape Recorded: Mar 10 2020 61 mins
    Robert Cruz, Sr Director, Smarsh; Brian Panicko, VP, Smarsh; Brandon Leatha, Founder and CEO, Leatha Counsulting LLC
    Mobile devices allow companies to be more organized and productive than ever before. With the mobile landscape in constant flux, companies must understand how employees and clients are using their mobile devices and how to stay ahead of the risks associated with them.

    Watch this webinar to learn more about:

    •The current mobile landscape for business
    •How organizations can use mobile technology to be more effective
    •A real-world example of a mobility assessment
  • A Year in Review: A Look Back at the Regulatory Compliance and Technology Trends Recorded: Mar 3 2020 60 mins
    Robert Cruz, Smarsh; Marianna Shafir, Smarsh; Elin Cherry, Elinphant, L.L.C.
    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
  • Top 5 Supervisory Failures and How to Avoid Them Recorded: Oct 7 2019 60 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
  • Top FINRA Enforcement Issues and Trends of 2018 with Eversheds Sutherland Recorded: Oct 1 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.
  • Must-Know FINRA Trends & the Impact on Compliance Recorded: Aug 29 2019 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.

    Join this webinar with Smarsh to learn more about:
    - FINRA's increased focus on RegTech
    - The role of RegTech in financial services today and in the future
    - How firm's can adjust compliance programs to reflect industry changes and mitigate risk
  • Must-Know FINRA Trends & the Impact on Compliance Recorded: Jul 31 2019 58 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.

    Join this webinar with Smarsh to learn more about:
    - FINRA's increased focus on RegTech
    - The role of RegTech in financial services today and in the future
    - How firm's can adjust compliance programs to reflect industry changes and mitigate risk
  • 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: 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: The Time Is Now: Understanding the Mobile Landscape
  • Live at: Mar 10 2020 4:00 pm
  • Presented by: Robert Cruz, Sr Director, Smarsh; Brian Panicko, VP, Smarsh; Brandon Leatha, Founder and CEO, Leatha Counsulting LLC
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