Name: Conduct Intelligence: The Journey Toward an Integrated View of Risk
Start: 2021-12-08T18:06:00Z
End: 2021-12-08T18:45:54.000Z
Location: BrightTALK

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.

Keeping up with electronic records has never been more complicated. With conversations happening on both agency-issued and personal devices, how do leaders at state and local governments capture mobile communications across text, social media, and collaboration platforms and streamline their response to records requests? 

Join our webinar, Hold the Phone: How State & Local Governments Manage Mobile Records, to discover the latest processes and technology helping public agencies monitor mobile communications and quickly respond to open records requests. 

Our expert panelists will discuss: 
-Technology infrastructure: How to upgrade legacy systems and reduce response time to open records requests 
-Mobile readiness: Best practices for capturing mobile data across all device types, regardless of ownership  
-Budget allocation: How to procure tools and resources to produce records quickly 

Featured Speakers 
Michael Banyra, Director of Partner Sales, from Smarsh 
Don MacLean, Chief Cyber Security Technologist from DLT Solutions

Hold the Phone: How State & Local Governments Manage Mobile Records

Financial services organizations are facing unprecedented obstacles as technology continues to advance at breakneck speed with regulators hot on their heels. As the volume and variety of data continues to grow, on premises solutions cannot keep pace, falling far behind the public cloud which affords greater agility, scalability, analytics, and controls. Forward-looking organizations are not hesitating to change the way they do business to ensure continuous compliance. 

On Thursday, May 19th at 10am PT | 1pm ET, join our webinar  Banking on the Cloud: Innovation at the Intersection of Speed and Compliance where cloud experts will discuss the critical regulatory and technology questions financial organizations need to consider as they devise their cloud strategy to harness innovations that will grow and scale their business. 

Featured Presenters
Alvin Huang, Capital Markets Specialist, Worldwide Financial Services Business Development at AWS
Marty Colburn, former CTO of FINRA
Robert Cruz, VP of Information Governance at Smarsh

During this webinar, you'll learn about:
•Secure ecosystems: How AI/ML coupled with the cloud impacts compliance, legal, and risk for regulated organizations managing expanding data types and surging volumes of information 
•Risk assessment: How to conduct a risk-benefit analysis of public cloud on legal, compliance, and IT departments 
•Deployment: How to overcome obstacles in cloud adoption, including reputational risk, operational resistance, data security, and perceived cost  
•Innovation: How to leverage the scalability, speed, flexibility, and reliability of the public cloud to turn data into a business asset

Banking on the Cloud: Innovation at the Intersection of Speed and Compliance

What's ahead for your remote workforce in 2022 with Robert Cruz, VP Governance of Information with Smarsh.

What's Ahead for Your Remote Workforce in 2022

Website archiving is a growing necessity for a wide range of organizations. Whether in response to a litigation event or to comply with regulations, it is vital to keep an accurate historical record of changes to your website. The Smarsh Web Archive is a premier solution that enables you to retain, supervise, search, and produce data with ease. The platform ensures all changes on your website are captured, archived, and searchable so you are always prepared for regulatory or e-discovery events. Watch this platform demonstration to get a better understanding of the solution and its features.

Watch it Work: Web Archiving

A conversation with Blane Warrene, VP of Product Management at Smarsh. 

Covering Topics
- Compliance Challenges in The Hybrid Work Environment
- Finding The Right Balance
- Capturing Communication
- What Tools Should You Allow

What’s The Use Case: Mobile & Hybrid Work

Regulators stayed busy in the first quarter of 2022, making it clear that hybrid work regulations are not slowing down and indicating a renewed focus on mobile communications. The SEC proposed new rules on cyber compliance with the aim of improving cybersecurity and protecting investors. While the goals for this proposed rule change are straightforward, the impact upon firms may be far-reaching. 
 
Join us April 21st, 11am PT | 2pm ET for our latest quarterly regulatory webinar, Regulatory Quarterly Update: Why Cybersecurity and Hybrid Work Can’t Go Unsupervised. In this session, you’ll hear from experts in financial services and information governance as they discuss the new proposed regulations, how the SEC and FINRA have enforced their priorities, and what continuing enforcement means for regulated firms. 
This discussion will explore:  
 
• SIFMA Conference highlights addressing the supervision of hybrid work collaboration and mobile communications 

• SEC’s new proposal for mandatory Cybersecurity assessments, policies, and incident reporting 
 
• Breakdown of FINRA’s Regulatory Notice on the supervisory role and liability for Chief Compliance Officers (CCO) 
 
• FINRA’s regulatory considerations for Cloud Computing 
 
Learn more about how this will impact your firm and how Smarsh can help you stay ahead of compliance challenges.  

Register Now
 
Presenters: 
Melissa MacGregor, Managing Director & Associate General Counsel, SIFMA 
Robert Cruz, VP Information Governance, Smarsh 
Tiffany Magri, Regulatory Advisor, Smarsh

Regulatory Quarterly Update: Why Cyber & Hybrid Work Can’t Go Unsupervised

Presenters:
Steven Trigili – Chief Compliance Officer, Garden State Securities
Tiffany Magri – Regulatory Compliance Advisor, Smarsh
Wiley Asher – Sr. Customer Success Manager, Entreda

For investment advisory firms, the old model of engaging with clients is in the rear-view. They are all in on #VirtualFinancialAdvisors.

While firms have been sprinting towards growth and reveling in the benefits, regulators have released new mandates on supervision and cybersecurity. Lean firms are struggling to keep up as their small, but mighty, compliance departments juggle supervisory responsibilities with outdated technology. Despite small budgets and limited resources, the ideal state of compliance for virtual financial advising is achievable. Join our webinar, How the New Cyber and Supervision Regulations Will Impact Remote Advisors, April 7 at 10am PDT/1pm EDT to learn how you can ensure your Virtual Financial Advisor teams can operate at full scale while mitigating risk and protecting your firm.

Our communications and cyber compliance experts will share:
• The latest FINRA and SEC cybersecurity regulations for virtual financial advisors
• How to maintain supervisory responsibilities across various collaboration platforms
• Best practices for access management, including training and controls
• Compliant methods for supervising electronic communications

RSVP to Save Your Seat

How the New Cyber and Supervision Regulations Will Impact Remote Advisors

Presented by:

Robert Cruz, VP of Governance Information - Smarsh
Garry Sorrentino, Global Deputy CIO - Zoom
Jerrod Travlee,  Lead Financial Services Consultant - Slack

Digital communication paths have become more diverse, making electronic communication across teams and with customers more difficult to monitor, much less store and archive. With no end in sight to the increased adoption of video, voice, and collaboration tools that enable hybrid work, regulated organizations need to ensure they are complying with records retention rules while ensuring seamless business continuity.

In this webinar, Gary Sorrentino, Global Deputy CIO at Zoom and Jerrod Travlee, Lead Financial Services Consultant at Slack will join us to discuss the increasing challenges executives are facing as they continue to navigate compliance in the hybrid work model. This discussion will explore:

- The innovative ways regulated organizations are using video, voice, and IM/collaboration tools to engage with employees and customers

- Events that are driving changes to organization’s policies of retaining and supervising communications

- The impact of outdated supervision policies or infrequent surveillance of communications data on collaboration platforms

- How to address the top concerns with expanding collaboration platform utilization including cyber risk, remote access, and non-compliance with regulations

Managing Hybrid Work Platforms to Reduce Business Risk

Presenters: 
Ishan Girdhar, CEO, Privva 
Jon Ehret, VP of Strategy & Risk, RiskRecon
Steven Slawson, VP of Security Program Manager
Tiffany Magri, Regulatory Compliance Advisor, Smarsh

Financial firms are onboarding third-party vendors at an unprecedented rate – overwhelming or frantically bypassing their manual security and risk management process. Compounding, the dependency on outside services and partnerships is only projected to further accelerate over the next few years given the demand for specialized resources and current hiring conditions. 

As vendor velocity and stricter regulatory enforcement increase, so does the security and compliance risk of third parties accessing critical systems and preventing confidential information leaving the virtual walls of the firm – not to mention delayed projects and customer service. 

Manual third-party risk assessments and remediation can no longer keep pace and require an automated approach to streamline the TPRM workflows, remove human errors and delays and most importantly ensure risk gaps are closed. 

Join our webinar “Automagically Compliant” - Streamlining Third-Party Risk Management Workflows at Speed to learn how utilizing technology can accelerate the workflow saving risk management teams considerable time (up to 71%) and maintain ongoing oversight with reporting capabilities to satisfy regulatory requirements. 

Join our industry’s leading experts in third-party risk management compliance as they share:

- Best practices for implementing and maturing a third-party risk management program 
- Bridging the gap between security questionnaires and continuous monitoring data
- Understanding the regulatory landscape and what level of diligence is required to achieve compliance
- Risk score modeling, analytics, and regulatory reporting

Manage Third-Party Risk with confidence.

“Automagically Compliant” Streamlining Third-Party Risk Management Workflows

Retail investors joined the trading market at an unprecedented rate in 2021. Approximately 6 million people downloaded trading apps in January 2021, leading to record-high average daily volumes for trading with retail brokerages.  

In light of this surge, FINRA is focusing their efforts in 2022 on investor protection and market integrity. Retail investor protection issues will be an ongoing theme, along with other emerging trends like crypto, RegBI enforcement, and response to hybrid work practices. 

Join us for an analysis of the FINRA Exam and Risk Monitoring Priorities Letter. We’ll dive into the priorities and provide concrete tips on how you can avoid the pitfalls of other firms who fell short in their processes, practices, and conduct. Our experts will discuss: 

- How FINRA will focus on “finfluencers” and other firm communications targeting retail investors 
- The current state of regulation of cryptocurrencies, including disclosure requirements 
- The impact of new rules focused on higher risk Restricted Firms 
- Updates on FINRA oversight practices in light of COVID and hybrid work

2022 FINRA Exam Priorities - Year of the Retail Investor

Investment management firms are going all-in with #VirtualFinancialAdvisors in 2022 – building teams of “Iron Men and Women”-like advisors that go beyond the hybrid work pivot of basic Zoom meetings to remotely engage their clients with a 100% digital-advice experience.  

 However, despite its benefits, launching a new Virtual Financial Advisor team into the market comes with a unique set of challenges. It will require an upgrade to your cyber compliance strategy that not only meets the latest cybersecurity regulations, but mitigates the potential risk exposure that comes along with an expanded cyber surface area. 

Join our webinar Building the Future “Virtual Financial Advisor” with Cyber Compliance on February 10th at 10am PT/1pm ET to learn how you can ensure your Virtual Financial Advisor teams are shielded with the latest cyber compliance controls, monitoring and regulatory reporting capabilities required to unleash them into the market with confidence.  

Join our industry’s leading experts in cyber compliance as they share: 
 
- A primer on the latest cyber-attack vectors and insider threats exposed by the remote workplace  

- Best practices for compliance controls that consistently follow your advisor across virtual  
  channels, networks, and devices 

- Reviews of cyber compliance policies, risk classification and threat notifications 
 
- Cybersecurity risk score modeling, analytics, and regulatory reporting  

 

Unleash your Virtual Financial Advisor team with confidence. 
 
This is the first webinar of a 3-part series.

Building the Future “Virtual Financial Advisor” with Cyber Compliance

The digital landscape is fueling an explosive growth in the complexity and volume of open records requests. As state and local agencies have adopted more tools, their requirements for capturing communications data have increased and become more complex. For the county IT leader, keeping track of the massive amount of data can be a challenge, but failing to do so can expose them to risk as well as cyber security threats.

Join Rita Reynolds, CIO for the National Association of Counties, John Matelski, CIO for Dekalb County and Robert Cruz, VP, Information Governance, Smarsh, and hear these compliance experts share their insights on the growing digital landscape and what that means for counties. They will discuss:

• Unrealized blind spots from Microsoft Teams, Zoom, and other discoverable data for open records requests

• Creating efficiencies with open records requests by evolving how you store and access your data

• The impact of the infrastructure bill and making the most of cybersecurity funds for extra protection

How the Digital Public Square Has Changed Records Management Forever

Technology is constantly changing. With an ever-evolving communications and regulatory landscape, the need for a cost-effective, scalable cloud archive that can ingest any form of content is the new imperative.
This session is an AMA (ask me anything) style panel with cloud experts from AWS and Smarsh. Come prepared with your pressing questions about the cloud and take the next step toward future-proofing your communications data strategy.

Cloud Coffee Break with AWS

Public officials are now trending as the latest “social influencers,” as Twitter, Instagram and Facebook have become the communication platforms of choice. Social media can be useful for real-time government updates and engagement with members of the community. Or it can cause major problems. When used inappropriately, social media can turn into a public relations nightmare and cause potential legal or reputational issues for a government agency. Supervising social media requires a combination of policies and technology to prevent a potential scandal from making headlines — while reducing the time and legal costs to prove a “nothingburger” in the explosion of public record requests.

The State and Local Government Perspective

Tim Estes hosts a fireside chat with Una Neary, Global Chief Compliance Officer of BlackRock, for a keynote on the market demand for Communications Intelligence.

The Market Demand for Communications Intelligence

Closing Interview of Smarsh Advance with Stephen Kunken, Hollywood's Most Famous Chief Compliance Officer

Interview with Hollywood's Most Famous Chief Compliance Officer, Stephen Kunken

2021 was a year that sent shock waves through the financial services industry. Hybrid work, the pervasive use of electronic collaboration tools and the rush to pursue retail investors with digital assets all led to regulatory enforcement actions that were first-of-their-kind. New data, new technology, and work-from-anywhere has many firms asking how can they best prepare for what’s to come in 2022.   

 

  

Join us on December 14, 2021, at 10am PT/1pm ET for our 2021 Regulatory Roundup webinar featuring enforcement experts Brian Rubin, Partner, and Amanda Oliviera, Associate from Eversheds Sutherland, along with Robert Cruz, VP, Information Governance, Smarsh.  

 

  

They will dive into the lessons learned from 2021 and share their outlook for 2022. They will discuss:  

 

2021 Enforcement Themes from the SEC and FINRA 

How the regulatory focus on digital communications changed in 2021, and potential record keeping rule modernization will impact firms in 2022 

How firms can respond to the continued regulatory focus on Outside Business Activities (OBA) 

What to expect in 2022, and how your firm can stay out of the crosshairs

2021 Regulatory Roundup and Year Ahead: Hybrid Work, DeFi and Crypto Compliance

Broker-dealers and Registered Investment Advisors have all had to change the way that they engage their clients to replace in-person meetings. This session will explore how wealth management firms are successfully leveraging video conferencing and voice-enabled tools to stay connected to their market.

Zoom & Voice: The RIA & BD Perspectives

Today’s content volume and variety is stretching supervisory systems to their limits. Today, information risk can live anywhere, and firms need to harness today’s advances in AI/NLP to spot the risks that are most impactful to their businesses. This session will explore how firms are planning to embrace the latest machine-driven technology while also meeting their record keeping and supervisory obligations.

Conduct Intelligence: The Journey Toward an Integrated View of Risk

Artificial Intelligence

Compliance

Compliance Testing

Intelligent Content

Records Management

Regulatory

Risk Assessment

Risk Management

Supervision

The e-discovery community covers emerging trends in e-discovery solutions, data mapping and data collection. Find best practices for email archiving, selecting the right e-discovery solution for your organization and more. Join the community to learn from top legal, compliance and e-discovery professionals and prepare yourself for what lies ahead.

e-Discovery

The legal community on BrightTALK combines the fields of employment law, e-discovery, intellectual property and environmental law to create a thriving ecosystem of legal resources. Attend live and on-demand webinars dealing with employment contract law, e-discovery solutions, intellectual property software and sustainable development from leading lawyers and legal professionals to gain knowledge in a wide range of fields. Join the community and be part of the conversation by attending live legal webinars and connecting with industry thought leaders.

Legal

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IT Governance, Risk and Compliance

Unified communications improve collaboration and increase productivity among employees through technologies such as VoIP, instant messaging and social media. Join this community to learn how to benefit from the full value of unified communications and collaboration technologies.

Collaboration and UC

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Business Intelligence and Analytics

As an IT professional, many of the problems you face are multifaceted, complex and don’t lend themselves to simple solutions. The information technology community features useful and free information technology resources. Join to browse thousands of videos and webinars on ITIL best practices, IT security strategy and more presented by leading CTOs, CIOs and other technology experts.

Information Technology

Join this highly engaged community of UK financial advisers as they share peer-to-peer best practice advice. Find content related to investment and economics, better business practices, client acquisition and client referrals for financial advisors, as well as tax and pension advice. Further the engagement by presenting and participating in live interactive webinars and videos.

UK Financial Advisers

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US Financial Advisors

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US Wealth Managers

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Audit and Compliance

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Financial Regulation

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Fintech

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Conduct Intelligence: The Journey Toward an Integrated View of Risk

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