RIA Update: SEC Exams, Enforcement and a Look Forward

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Presented by

Robert Cruz, Elin Cherry, Matt Cohen

About this talk

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.

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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.