Name: 2022 FINRA Exam Priorities - Year of the Retail Investor
Start: 2022-02-17T18:00:00Z
End: 2022-02-17T18:00:57.000Z
Location: BrightTALK
Rating: 4.67

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.

With over 100+ communication channels to capture, archive and supervise and increasing regulation of these channels, it is imperative that enterprises manage their data in an effective manner.

Join us on Wednesday, July 27th for a Coffee Break, Communications Intelligence:  AI-Powered Supervision and Surveillance in 20 Mins, to explore how using AI-powered supervision and surveillance can help you cut costs up to 50% while improving agility. 

Our expert panelist will discuss:  
-The power of pre-trained, enterprise scale NLP and ML Technology
-How advanced, tailored scenarios can surface risk and reduce false positives

Brew Now - RSVP

Communications Intelligence: AI-Powered Supervision and Surveillance in 20 mins

The explosion of hybrid work communications from today’s dynamic collaboration, mobile and social channels are grinding legacy archive systems. A bold, new flavor is needed to prevent a venti-amount of risk exposure – introducing the Smarsh Enterprise platform.

Enjoy coffee and treats on Smarsh with a gourmet tasting of the:

- New harvest of 100+ channels
- Farm-to-cup reconciliation of captured communications with
   20% less time spent on audit trails and reporting
- AI infused Data lifecycle management for 50% cost savings on retention
- Cognitive scenarios to improve risk detection and noise reduction by 95%
- Impenetrable aroma of cloud security brewed stronger than your on-premise kitchen

Take a break with a cup of premium roast archiving and analytics with Smarsh Enterprise.

Brew Now - RSVP

Breakthroughs in Communications Archiving: Smarsh Enterprise Platform in 20 mins

Mobile communications are a steaming-hot issue for the SEC and FINRA after frothy fines and probes into the use of personal devices and popular messaging apps have awakened the financial industry.

Join us for a special Coffee Break session August 3rd to learn more about Smarsh's unmatched mobile communications compliance.

Enjoy coffee and treats on Smarsh with a gourmet mobile compliance tasting that includes:
• Unpacking of the record-breaking regulatory fines ($200M+ / 6 months), probes and warning for unenforced policies
• Capabilities to capture and archive voice, text and popular apps like WhatsApp, Telegram and Signal
• Barista view of the Smarsh journey forward

Take a break and get ready for a macchiato of mobile goodness.

Brew Now - RSVP

Mobile Compliance: Messaging and Voice Archiving in 20 mins

Firms increasingly rely on vendors and service providers that require trusted access to internal systems and sensitive data. At the same time, the SEC is reporting that over 63% of data breaches are linked to such third-party entities. Nearly all of these cybersecurity incidents can be avoided through a few simple vendor risk management automation and monitoring tips.

Avoid the costs and common risk pitfalls while streamlining your reporting for the coming cyber regulations with a short briefing from our vendor risk specialist team, where they will show attendees how to:

- Eliminate delays and manual assessment gaps
- Review workflow shortcuts to save considerable time (up to 71%)
- Compare vendor responses against other vendors and industry benchmarks
- Track progress, archive reportable communications, and automate remediation
- Plus many more tips and vendor management hacks

How to Avoid Vendor Risk Pitfalls: Streamlining Reviews, Audits and Alerts

Deployments of Microsoft Teams have exploded inside organizations – scaling collaboration and productivity gains at unprecedented rates. Digital conversations dynamically streaming in parallel across video, voice and messaging formats have brought to life a multi-dimension experience, while at the same time “crushing” legacy compliance systems and overwhelming analysts responsible for detecting risk in communications data.  
 

Microsoft and Smarsh have come together to support the demands of the world’s largest Financial Services, Insurance, and Government organizations by developing an “unbreakable” Microsoft Teams capture and archive solution designed to deliver:

• Unified Identity Management – Real-time consolidation of an individual’s digital footprint across Microsoft Teams and all other mobile, social media, and email communications.  
  
• Contextual Preservation – Capture communications, events (edits, comments, emojis), and attachments in their native formats – not flattened to email. Including voice translations of 120+ languages.   

• Message threading and attachments – All messages, edits / deletes, and metadata are captured together with links, files, images, videos and other attachments.  
 
• AI-Powered Supervision and Surveillance – Surface risk, anomalies, and trends with integrated ML / AI – for instant detection and 95% noise reduction.   
  
• Elastic Scale and Search Performance – Architected for speed at scale. Over 250K concurrent users and ability to search 25 million records in under 5 seconds. 

 
Join us to learn more about the Microsoft and Smarsh collaborative development period of the Teams Export APIs and the industry’s first certified Enterprise Information Archive (EIA) solution.

Compliance and Risk Detection Breakthroughs for Microsoft Teams

Workstream collaboration tools like Zoom, Slack and Microsoft Teams have fundamentally changed the way that firms do business. At the same time, a new demographic of client and employee are bringing social and mobile applications into the workforce, driving a new level of engagement and interaction. This panel will discuss strategies to embrace these new data sources while mitigating the accompanying risk.

Speakers
• Anthony Diana, Partner at Reed Smith
• Matthew Carey, Director at TD Securities
• Blane Warrene, VP of Product Management at Smarsh

The Ever-Expanding Digital Communications Universe

Today’s reality is that employees are working partially in office, partially at home, and always connected to their mobile devices. This hybrid scenario is here to stay. Firms are challenged to maintain employee engagement while ensuring that compliance controls work uniformly – regardless of location. In this session, we’ll discuss how organizations are implementing strategies to navigate the future of work.

Speakers:
• Sid Yenamandra, CEO at Entreda
• Al Park, Sr. Managing Director at FTI Consulting
• Mark Carlin, VP of Sales Americas at Telemessage
• Robert Cruz, VP of Information Governance at Smarsh

Embracing the Hybrid Work Reality

An SEC email campaign is going viral and creating a buzz among RIAs – changes to the marketing rule are coming and they cannot be ignored. The increased use of digital channels for customer acquisition, including social media and web platforms, is redefining what constitutes an advertisement.   

Investment management firms looking to drive new client growth with testimonials, endorsements, third-party ratings, and influencers should not miss our webinar, Compliant Advertising: The Marketing Rule & “Finfluencers.” Our compliance experts will discuss the new requirements and what you can do now to make updates to your advertising strategy and be ready for the SEC.  

During this webinar, our experts will do a deep dive into:   
· Definitions and Prohibitions: The 7 prohibited advertising practices and new definitions for advertisements   
· Recommendations: How endorsements, testimonials and third-party ratings have to be reevaluated, along with policy updates  
· Snackable Content: The regulatory response to the explosion of social media and finfluencer content that risk misleading young investors  
· Sweeps: Who is most at risk for an SEC sweep examination

Compliant Advertising: The Marketing Rule & "Finfluencers"

Join Smarsh Chief Product Officer, and our strategic partner AWS for a discussion of the common challenges we see amongst our joint customers, along with demonstrations of how our technology integration is designed to address these real-world use-case scenarios.


 - How to manage an increasingly digital work environment (home networks, mobile devices, new communications tools, etc.) in financial services, and whether, or not, prohibition policies are effective parameters

 - The evolving tools and features that employees and customers are drawn to, including encrypted apps like WhatsApp, whiteboard functionality in Microsoft Teams, Zoom meetings, and the variety of communications exchanged across those channels

 - What to consider for compliance technology now that more business interactions on digital platforms and apps are generating larger, faster volumes of information to be securely captured, archived, monitored, and analyzed

Risk Regulations and Data Privacy at Cloud Scale

Like a Caffe’ Americano served hot, compliance policies left alone quickly turn into a cold brew of risk and time-consuming reviews. It’s time to turn up the heat on policies from our expert baristas.

Enjoy coffee and treats on Smarsh August 17th along with a gourmet tasting of:
• Common policy pitfalls for supervising new collaboration, mobile and social channels
• Optimizations to increase risk detection up to 3x, while reducing false positives by 95%
• Tips to cut review times from hours to minutes, costs from $100s to dollars
• Proactive monitoring and reporting to stay ahead of audits
• Cost / benefit analysis of outsourcing assisted reviews and supervision services
Take a break from the review queue and enjoy the refreshing flavor of high-performing compliance policies.

Brew Now - RSVP

Assisted Review: Electronic Communications Supervision in 20 mins

It’s summertime and the regulatory climate is heating up. Regulators have been taking a tougher stance on areas of longstanding interest like insider trading and mobile, while also aggressively enforcing new priorities like cybersecurity and cryptocurrency. 
 
Join us July 26, 2022 for our webinar, Regulatory Quarterly Update: 2022 Mid-Year Pitstop, for an overview and analysis of enforcement this year and their ramifications as we head into the second half of 2022. 
 
Our expert panelists will discuss:
- Enforcement: Review of recent regulatory action focused on the use of prohibited networks, e.g. WhatsApp
- Cyber: Proposed SEC Rules for Cybersecurity Risk Management: What Investment Advisory Firms Need to Know
- 17a4: Discuss the proposed update to SEC 17a4 storage rule and critical steps regulated firms need to take to maintain compliance

Speakers include:
Marianna Shafir, Regulatory Advisor - Smarsh
Mimi LeGaye, President - MGL Consulting LLC

Regulatory Quarterly Update: 2022 Mid-Year Pitstop

A fireside chat with Peter Wannemacher, Principal Analyst at Forrester, Gary Sorrentino, Co-CIO, Zoom and Robert Cruz, VP, Information Governance at Smarsh on how businesses will engage with customers in the future and how leaders need to build their strategies to embrace this future while staying ahead of changing regulations.

What Lies Ahead for Communication

Getting Started!

Our Summer Games charity step challenge is about to kick off, so here are a few tips and instructions to get you started on the right foot.

1) Download the MoveSpring app on you mobile device:

https://link.movespring.com/join?orgCode=Smarsh&groupCode=MZE927

2) Use Code: 'Smarsh' to join the Summer Games Challenge

3) Share these same link and code with your +1 guest to compete as team. Team setup instructions will be provided in the app.

Send any questions to: SummerGames@smarsh.com

---------------------------------------------------------------------------------

Join anytime to our 2nd annual Smarsh Summer Games - a community step challenge for charity.

Stay connected this summer with friends, family and work colleagues competing in a thrilling 4-week virtual tracking experience - all from your local trails, treadmills and mobile app.

Simply get stepping and win weekly rewards for your favorite charity.

Bring a buddy. Compete for challenge SWAG and awards as an individual and / or dynamic duo.

Dates:
Registration Opens: June 8th
Challenge: July 18th - August 12th

Costs: Zero. Just your steps. No fees or donations.

Participants: Open anyone in the Compliance, Cyber and IT community.
A guest pass (+1) will be sent after registration for a friend, family or work colleague. Must be 18 years of age or older to participate.

Charity Awards & Prizes
Get a chance to compete in weekly, milestone and "social spirit" prizes, and see charities earn up to $2,500 in total challenge awards!


Summer Game SWAG
Be among the first 250 participants to exceed the 50 mile milestone and unlock access to exclusive Summer Games SWAG - challenge jersey, eGift Cards and more.

Register now

Smarsh Summer Games

The SEC is brewing up a “double espresso” shot of cybersecurity regulations that are sure to wake-up the registered investment adviser and fund community.  

Enjoy coffee and treats on Smarsh for a gourmet tasting of the:

 - Proposed cybersecurity risk management rules
 -  Automated compliance options to seamlessly monitor, assess and remediate controls
 -  Integrated recordkeeping of required cybersecurity policies and procedures
 -  Blend of dark web monitoring, phishing / vulnerability test and 3rd party risk management

 Take a break and get ready for a warm, soothing cup of Cyber Compliance goodness.

 Brew Now - RSVP

Speakers:
Wiley Asher, Sr. Customer Success Manager - Entreda

Cyber Compliance: SEC Regulatory Readiness in 20 mins

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 
Don MacLean, Chief Cyber Security Technologist from DLT Solutions
Mark Carlin, Head of Americas, Telemessage

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

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

Regulatory Enforcement

Financial Services

Compliance

Retail Investor

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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

Increasing expectations for good governance, effective risk management and complex demands for corporate compliance are presenting a growing challenge for organizations of all sizes. Join industry thought leaders as they provide you with practical advice on how to implement successful risk and compliance management strategies across your organization. Browse risk management resources in the form of interactive webinars and videos and ask questions of expert GRC professionals.

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

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Information Technology

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UK Financial Advisers

Welcome to the US financial advisor community on BrightTALK. Join the community to learn alongside thousands of financial advisors and registered investment advisors. Access relevant and timely content on investment products and strategies, regulations and compliance and the market landscape. You can also find practice management insights on topics such as client acquisition and retention, life planning, marketing and social media best practices.

US Financial Advisors

Welcome to the US wealth managers community on BrightTALK. Join this community to hear industry experts share market, compliance, legal, tax and fund updates and analysis. You can also find helpful tips on financial planning, asset allocation, portfolio management and engaging and retaining high net-worth (HNW) clients.

US Wealth Managers

Internal audit and compliance professionals are facing increasingly stringent regulatory requirements when it comes to compliance reporting and internal control procedures. Join the audit and compliance community to learn best practices from thought leaders on topics such as regulatory compliance, internal audit checklists and audit program strategies.

Audit and Compliance

Effective financial management strategies can help organizations meet their business objectives. The financial management community on BrightTALK is made up of engaged finance and accounting professionals. Find relevant webinars and roundtable discussions featuring financial planning advice from industry thought leaders and insights into optimizing financial reporting, accounting, risk management and value measurement.

Financial Regulation

Join this new, vibrant community to learn and connect with top thought leaders, startups and banks who are disrupting the financial services industry. Keep up with the latest news and trends in Fintech and take part in lively debates on topical issues and challenges.

Fintech

The accounting and finance community on BrightTALK features presentations from leading accountants and finance professionals. The accounting community includes tax planning strategies, QuickBooks webinars and other accounting webinars, while the finance community features presentations on financial capital regulations and forensic data analytics. Join the conversation by attending live financial and accounting presentations and connecting with industry thought leaders.

2022 FINRA Exam Priorities - Year of the Retail Investor

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