Hi [[ session.user.profile.firstName ]]

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

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.
Recorded May 14 2020 53 mins
Your place is confirmed,
we'll send you email reminders
Presented by
ROBERT CRUZ Sr. Dir of Information Governance, Smarsh; MARIANNA SHAFIR Regulatory Advisor, Smarsh; ELIN CHERRY CEO, Elinphant
Presentation preview: How to Supervise Your Suddenly Remote Broker-Dealers & Investment Advisors

Network with like-minded attendees

  • [[ session.user.profile.displayName ]]
    Add a photo
    • [[ session.user.profile.displayName ]]
    • [[ session.user.profile.jobTitle ]]
    • [[ session.user.profile.companyName ]]
    • [[ userProfileTemplateHelper.getLocation(session.user.profile) ]]
  • [[ card.displayName ]]
    • [[ card.displayName ]]
    • [[ card.jobTitle ]]
    • [[ card.companyName ]]
    • [[ userProfileTemplateHelper.getLocation(card) ]]
  • Channel
  • Channel profile
  • Collaborating on Slack with No Compliance Risk Recorded: Aug 2 2021 58 mins
    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.
  • Stay-at-Home Workforce: Best Practices Recorded: Aug 2 2021 38 mins
    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
  • Adopting a Social Media Policy: 12 Essentials for Mortgage Lenders and Brokers Recorded: Jul 30 2021 45 mins
    Andrea Lee Negroni, JD
    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.
  • Re-imagining the Future of Work: Financial Services Recorded: Jul 30 2021 50 mins
    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
  • Collaboration & E-Discovery: Addressing the Challenge of Interactive Content Recorded: Jul 30 2021 58 mins
    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
  • Smarsh & Microsoft: Better Together Recorded: Jul 28 2021 54 mins
    Shaun Hurst, Marc Sanders, Robert Cruz
    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
  • Managing Zoom for Financial Services Recorded: Jul 28 2021 56 mins
    Marianna Shafir, Elin Cherry, Matt Kelly
    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.
  • Top 5 Predictions for 2021 Recorded: Jul 28 2021 62 mins
    Marianna Shafir, Elin Cherry
    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.
  • Impact of Technologies Used by Remote Employees Recorded: Jul 28 2021 59 mins
    Robert Cruz, Jocelyn DeMaio, Marina Kavanovich
    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
  • 2021 Electronic Communications Compliance Survey Recorded: Jul 28 2021 62 mins
    Stephen Marsh, Mimi Legaye, Robert Cruz
    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
  • The Time Is Now: Understanding the Mobile Landscape Recorded: Jul 28 2021 62 mins
    Robert Cruz, Brian Panicko, Brandon Leatha
    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.
  • On-the-Go Workforce: How to Stay Compliant with Mobile Recorded: Jul 28 2021 62 mins
    Robert Cruz, Sean Moshir, Brandon Leatha
    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.
  • 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
Comprehensive Archiving Solution
Retain critical information in a single secure, search-ready repository where it can be actively monitored and produced on-demand.

Embed in website or blog

Successfully added emails: 0
Remove all
  • Title: How to Supervise Your Suddenly Remote Broker-Dealers & Investment Advisors
  • Live at: May 14 2020 5:00 pm
  • Presented by: ROBERT CRUZ Sr. Dir of Information Governance, Smarsh; MARIANNA SHAFIR Regulatory Advisor, Smarsh; ELIN CHERRY CEO, Elinphant
  • From:
Your email has been sent.
or close