This webcast aired on March 16, 2023.
CPE Credit(s): 1
The Securities and Exchange Commission and Commodity Futures Trading Commission spent the latter part of 2022 issuing a series of exceptionally large enforcement actions against financial services firms over unapproved communications tools. Most of these actions stemmed from recordkeeping violations.
Because broker-dealers and investment advisers were using unapproved tools, firms couldn’t capture and preserve business communications. The increased regulator attention on digital communications in the financial services industry can be a taste of what’s to come for other regulated industries, including insurance, energy, utilities, and pharma.
In this webinar, you’ll:
- Learn five tips to adopt a proactive posture on risk management
- Review the key business drivers leading to adoption of digital communications
- Understand the dimensions of risk introduced by new communications tools
- Hear how firms are adjusting recordkeeping and oversight processes to remain in control
Speakers:
Robert Cruz, VP of Information Governance - Smarsh
Tiffany Magri, Regulatory Compliance Advisor - Smarsh
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