Name: Smarsh Summer Games
Start: 2022-07-18T15:00:00Z
End: 2022-07-18T15:15:00.000Z
Location: BrightTALK
Rating: 0

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.

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"

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

**Coffee eGift Cards of $20 value to be sent to the first 250 live attendees

Assisted Review: Electronic Communications Supervision 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 the Smarsh acquisition of TeleMessage and our  capability to deliver 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 and T eleMessage journey forward
Take a break and get ready for a macchiato of mobile goodness.

Brew Now - RSVP

**Coffee eGift Cards of $20 value to be sent to the first 250 live attendees

Mobile Compliance: Messaging and Voice Archiving in 20 mins

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:  
-How to meet recordkeeping demands more effectively
-Understanding and organizing data automatically

Brew Now - RSVP

**Coffee eGift Cards of $20 value to be sent to the first 250 live attendees

Communications Intelligence: AI-Powered Supervision and Surveillance 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: An analysis of enforcement actions from SEC and FINRA
 - Cyber: SEC’s new proposal for mandatory Cybersecurity assessments, policies, and incident reporting
 - Mobile: How SEC’s sweep exam on mobile communications should impact your policies and procedures
 - Action: Critical steps regulated firms need to take to maintain compliance

Regulatory Quarterly Update: 2022 Mid-Year Pitstop

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

**Coffee eGift Cards of $20 value to be sent to the first 250 live attendees

Breakthroughs in Communications Archiving: Smarsh Enterprise Platform in 20 mins

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

**Coffee eGift Cards of $20 value to be sent to the first 250 live attendees

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

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, 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

SEC’s New Cybersecurity Regulations Impact on 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

Join 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

Challenge

Summer Games

Smarsh

Charity

Competition

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

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

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

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

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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.

Smarsh Summer Games

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