Must-Know FINRA Trends & the Impact on Compliance

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Presented by

ROBERT CRUZ, Smarsh; MARIANNA SHAFIR, Smarsh; MIMI LEGAYE, MGL Consulting; MARTY COLBURN, Cloud Partners

About this talk

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

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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.