From Hypothetical Performance to Real Consequences: SEC’s Message to Advisers
The Securities and Exchange Commission (SEC) has sent a clear message to the investment advisory industry with its latest enforcement actions related to the Marketing Rule. Five firms were charged and fined over $200,000 for a range of violations, underscoring the agency's commitment to ensuring advisers adhere to the rule's strict compliance requirements.
At the heart of these cases were issu...
Strategic Partnerships Highlighted at SmarshCONNECT 2024
A special thanks to all our customers and partners who joined us in NYC for SmarshCONNECT 2024! We appreciate your time and valuable insights; both fuel our shared success.
Each year, Smarsh hosts SmarshCONNECT, bringing together customers, technology leaders and industry experts to unlock insights into the new era of communications, technology and compliance. The goal of these events is to le...
2024 Radicati Market Quadrant for Information Archiving
Smarsh Named a Top Player in the 2024 Radicati Market Quadrant for Information ArchivingThe Undisputed Market LeaderRead the 2024 Radicati Market Quadrant for Information Archiving to learn why Smarsh was named a Top Player for the fourteenth year in a row, and singled out for having the highest level of functionality and best strategic vision among its competitor peer group within the market.“S...
Smarsh Bolsters Board of Directors With New Additions
Smarsh Bolsters Board of Directors With New Additions Experienced tech and financial services executives Lynn Danko, Sagnik Nandy and Tim Scheve to help steer fast-growing category leader through next phase of growth PORTLAND, Oregon, April 11, 2024 – Smarsh®, the global leader in digital communications compliance and intelligence, today welcomed proven business leaders, Sagnik Nandy…
Managing AI to Ensure Compliance with Data Privacy Laws
Artificial intelligence (AI) is a powerful technology that can enhance business performance, innovation, and customer satisfaction.
However, AI also poses significant challenges to data privacy and compliance, as it involves collecting, processing, and analyzing large amounts of personal and sensitive data. Data privacy laws, such as the General Data Protection Regulation (GDPR) in the E...
Smarsh Named Top Player in the Radicati Group’s 2024 Information Archiving Market Quadrant Report
Smarsh Named Top Player in the Radicati Group’s 2024 Information Archiving Market Quadrant Report Named Top Player for the 14th consecutive year, Smarsh sets the standard for level of functionality and best strategic vision in 2024 market assessment PORTLAND, Ore., March 31, 2024 – Smarsh®, the global leader in digital communications compliance and intelligence, announced…
The Big Question at SIFMA C&L Orlando: “Can We Just Be Done with Off-Channel Enforcement Now?”
"Can we just be done with off-channel enforcement now?”
That was asked by a senior member of a major law firm to a regulator during the main-stage interview that kicked-off the SIFMA C&L conference in Orlando.
He continued with, “Can’t we all just stop text messaging?” This references an earlier interview with SEC Enforcement Head, Gurbir Grewal, who stated that ...
Navigating the SEC’s Expanded Dealer Definition
The SEC has expanded the definition of "dealer"
in securities regulations, bringing more entities under regulatory oversight. Now, anyone buying and selling securities as part of their business must register with the SEC, join a self-regulatory organization (SRO), and follow federal securities laws and related rules.
In this post, we share what changed with the SEC's dealer definition and an...
Digital Communication Preservation: Highlights of the DOJ and FTC’s Imperative Guidance
In a rapidly evolving digital landscape, the Department of Justice (DOJ) and Federal Trade Commission (FTC) have issued updated guidance, emphasizing the critical importance of preserving digital communications. This guidance addresses the growing prevalence of collaboration platforms and ephemeral messaging apps in modern workplaces, which pose challenges for compliance and records management.
...
Off-Channel Communications Guide: Impact and Best Practices
E-BookOff-Channel Communications Best Practices and Industry Impact The past 12 months have seen unprecedented regulatory focus on digital communications. The SEC and the Commodities Futures Trading Commission (CFTC) have been examining the digital communications practices of financial services firms of all shapes and sizes, levying unprecedented enforcement actions and settlements that dwarf anyt...
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