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.
RecordedApr 28 202060 mins
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Join the industry’s leading experts for the launch of our new Regulatory Quarterly Update briefings – a strategic review of the latest communication regulation policies, fines and compliance best practices.
Gregory W. Vesper, Chief Product Officer at Smarsh
Join us to learn about your employee communications. In this webinar, we will discuss why they matter, what we can learn from them, how we can avoid dramatic downsides, and how we can discover upsides for better understanding your business communications.
The SEC has strengthened their focus on regulatory enforcement as the increase in electronic communications tools changes the way financial services organizations do business. Recent statements about social media use, the new federal cybersecurity order, and the SEC’s official examination priorities have some firms concerned about how to manage compliance in a new era.
Join us for a webinar with experts in financial services and information governance for a discussion about:
• SEC Exam priorities and a view from the front lines
• Recent experience relating to exams and enforcement trends
• The regulatory challenges of enabling a hybrid work force
• How firms are adjusting to expanded use of Teams, Zoom and other digital communications tools
• Trends and direction in areas such as social media, cryptocurrency, gamification
We’ll cover best practices and modern technologies that will help firms stay in front of compliance challenges and what’s next under new SEC secretary Gary Gensler. You won’t want to miss it.
Robert Cruz, Troy Paredes, Matt Kelly, Laurence Goldfarb
The reality of stay-at-home work has opened up organizations to a new era of business communications. Corporate support for Zoom, Slack, and Microsoft Teams is too often accompanied by freeware downloads, and unauthorized use of WhatsApp, WeChat and mobile messaging apps. The risks that come with these tools make it increasingly important for Legal, Compliance, and IT professionals to collaborate in the development of a unified plan to protect their organization.
Listen to Smarsh and industry experts for our "Innovation Exchange" webinar series to learn:
• How Legal, Compliance, and IT define communications risk
• How these functions are investing in technology, processes, and training to remediate those risks
• Best practices for aligning priorities across these functions
ROBERT CRUZ Senior Director of Information Governance, Smarsh, HEEJIN CHO Senior Solutions Engineer
Stay-at-home workforces have seen a dramatic shift in how financial services firms communicate and collaborate. The adoption of rich, interactive technologies such as Slack have enabled greater productivity, improved responsiveness, and empowered business agility during challenging times. However, financial services firms must also remain focused on satisfying all regulatory requirements.
SHAUN HURST Director, Solutions Engineering, Smarsh, DEAN ELWOOD CEO and Founder, Umony Limited
Addressing the demands of a mobile, virtual and stay-at-home workforce is not a new topic. Hiring the best talent – regardless of whether or not they reside in proximity to company facilities – is a competitive reality for many organisations. But the global coronavirus (COVID-19) outbreak has suddenly amplified interest in this trend at companies large and small around the world for existing staff as well.
Many firms, for a variety of reasons, have been slower to embrace advances in technology to support a non-office dwelling staff. Until now.
During this webinar we will discuss:
Should companies consider software that is “free”? What about WhatsApp and WeChat?
Should regulated firms reconsider their policies on restricting access to features of their existing collaboration tools like Microsoft Teams, Slack and Zoom to ensure their staff are productive while working remotely?
And how to do this in a compliant manner
Financial institutions no longer need convincing that a social media presence is essential. Endless studies and research data demonstrate the point so persuasively that even the initially-reluctant have come around. But practical acceptance of the need for meaningful social media policy guidelines is less universally acknowledged. In the absence of policies, however, social activity can be a landmine for mortgage companies, potentially more damaging than helpful.
Social media policies are essential because of the known risks of unconstrained social activity. Consider a handful of sources of possible damage:
Malicious content can enter an enterprise through social channels. A recent Osterman Research paper says nearly a fifth of organizations have suffered malware infiltration through social media.
Sensitive or confidential corporate data can be inadvertently disclosed on social media.
Social messages may breach the privacy of consumers, employees, or other stakeholders.
Regulatory investigations may result from advertising on social platforms if deemed unfair or deceptive.
Inconsistent or contradictory messages across multiple social platforms may lead to enforcement actions, consumer complaints, litigation and/or reputational damage.
Costs for monitoring inappropriate or unauthorized social messages, fixing problems, and retrieving records of social activity may be higher for organizations without established policies.
Despite these risks, about half of all organizations that use social media don’t have written policies for their use. That’s simply unwise. Even a rudimentary policy is better than none, and it’s not that difficult to implement one.
While different organizations have different needs and will vary in the detail required for an appropriate and enforceable policy. Watch now to learn key pointers for developing a mortgage lender/broker’s social media policy.
Robert Cruz, Smarsh | Jeff Smith, Zoom Video Communications | Blane Warrene, Smarsh
For regulated firms, the pandemic has not made it any easier for compliance teams to say yes to new communications tools. But that hasn’t stopped employees from asking to use the latest apps or devices. Workers simply need to get work done, and absent other guidance or training, they will resort to using the tool that is easiest to access or is most familiar to them.
Nowhere is this dynamic better illustrated than in the case of Zoom. The conferencing platform’s daily meeting participants in December 2019 averaged around 10 million. By April 2020, just four months later, that number had grown to more than 300 million — a whopping 2,900% increase.
Be prepared for the inevitable changes we’ll see in communications in the years ahead. Watch as Smarsh VP, Information Governance, Robert Cruz, Smarsh VP, Product Management, Blane Warrene, and Head of Zoom Rooms with Zoom Video Communications, Jeff Smith discuss:
• Lessons learned from Zoom’s major growth in 2020
• How Zoom will enable the “work from anywhere” future
• How Smarsh can help financial services firms drive successful adoption of Zoom
Robert Cruz Senior Director of Information Governance at Smarsh | Brandon Leatha Founder and CEO at Leatha Consulting LLC
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.
Watch this on-demand webinar to learn more about:
• The factors driving the growth of collaboration technologies like Slack, Symphony and Microsoft Teams
• The e-discovery challenges created by dynamic, interactive content
• Recent guidance from the Sedona Conference on managing discovery of today's content
With an unprecedented proportion of the global workforce working from home, tools like Microsoft Teams are more important than ever. But many organizations haven’t yet fully embraced the full functionality that Microsoft Teams provides. Often this is because the organization’s legal or compliance functions are concerned about regulatory issues
This webinar covers how the combination of Microsoft + Smarsh is a compliant solution that unlocks the value of Teams.
In particular, during this webinar we will discuss:
The future of collaboration: How will tools like Microsoft Teams change the way we work and improve productivity
Bots! How will AI/ML be used to improve the functionality and productivity of Microsoft Teams
How Smarsh Connected Suite is being rolled out by regulated firms of all sizes and in all geographies, completely satisfying their legal and compliance concerns
The collective reliance on Zoom during the pandemic cannot be overstated. The conferencing platform’s daily meeting participants in December 2019 averaged around 10 million. By April 2020, just four months later, that number had grown to more than 300 million — a whopping 2,900% increase.
Many organizations are now reliant on Zoom as a business-critical communication channel. In lieu of conference room meetings, coffee shop chats, and water cooler conversations, “Zooming” has become the new normal for connecting with colleagues and clients. But what are the implications of our dependence on Zoom?
For financial services organizations, the sudden shift to Zoom as a foundational business tool introduced new security and compliance risks and uncertainty about how to interpret and fulfill regulatory obligations. Regulated firms must gauge the benefits and risks of tools like Zoom, whether to allow or prohibit its use and how to preserve and monitor Zoom content for compliance.
Like within every industry, 2020 represented a year of unprecedented disruption for FINRA and SEC-regulated firms. As we discussed in our Enforcement 2020: Highlights from a Regulatory Year Like No Other last month, response to the pandemic, the proliferation of digital communication tools, and the accelerated adoption of RegTech are likely to remain in the regulatory spotlight.
So, what does this mean to compliance executives in 2021?
Watch our panel of experts as they discuss their Top 5 Compliance Predictions for 2021.
The heavy adoption of communications tools like Teams, Zoom and Slack are shaping a "work-from-anywhere" future. For financial services firms, this widespread adoption has a significant impact on regulatory compliance.
How can financial organizations meet the regulatory compliance challenges these platforms create?
That’s what we’ll be discussing in our upcoming webinar on Tuesday, May 25 at 1pm ET | 10am PT. Our panel of financial industry experts will cover:
How collaboration and conferencing tools are used for business
Requirements for data retention and supervision of modern communications platforms
The challenges of meeting regulatory requirements as new tools are introduced
Effective supervision of remote work activities
Best practices for adopting a work-from-anywhere business model
The Smarsh Annual Risk & Compliance Survey revealed the communications compliance trends that surfaced in a year of unprecedented disruption and a resulting shift to collaborative, conferencing and mobile tools to get our jobs done.
How did this sudden shift impact compliance teams? Listen as Smarsh Founder and Chairman Steve Marsh, Mimi LeGaye from M&L Consulting and Vice President of Information Governance Robert Cruz explore the results of our recent survey.
Watch this on-demand webinar as we discuss:
How the survey reflects changes in the way that financial services firms are doing business
The compliance gaps that have arisen during the shift to work from home
What firms can do to proactively leverage today's communications and collaboration solutions
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.
The number of employees taking their work mobile is on the rise and firms are facing potential risks as a result of this influx of new collaboration tools. These shifting demographics are causing organizations to support new tools for business communications. How can firms drive productivity and offer remote working options while staying compliant? We will cover 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.
Mitigate risk and uncover new opportunities in your data.
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.
Data Privacy Laws: Where Do We Go From Here?Robert Cruz, Sr Director of Information Governance, Smarsh; Shaun Hurst, Principal, Information Governance Practice, Smarsh[[ webcastStartDate * 1000 | amDateFormat: 'MMM D YYYY h:mm a' ]]60 mins