How to Supervise Your Suddenly Remote Broker-Dealers & Investment Advisors

Presented by

ROBERT CRUZ Sr. Dir of Information Governance, Smarsh; MARIANNA SHAFIR Regulatory Advisor, Smarsh; ELIN CHERRY CEO, Elinphant

About this talk

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.
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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.