SEC’s New Cybersecurity Regulations Impact on Remote Advisors

Presented by


About this talk

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are struggling to keep up as their small, but mighty, compliance departments juggle supervisory responsibilities with outdated technology.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, Watch our webinar, How the New Cyber and Supervision Regulations Will Impact Remote Advisors, 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
Related topics:

More from this channel

Upcoming talks (0)
On-demand talks (67)
Subscribers (6478)
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.