White papers and reports by Smarsh
InvestmentNews presents the latest and most targeted thought leadership for the financial industry.
Mobile-first Millennial and Gen Z generations work and engage clients in a very different way than previous generations. Download this guide to learn more about how to achieve and maintain compliance for your organization's electronic communications data.
August 29, 2019
The SEC & FINRA have been hard at work enforcing supervision & compliance regulations in the financial services industry. In this report, we review 10 of the most notable violations to better understand how they occurred & how firms are managing enhanced SEC & FINRA scrutiny.
July 29, 2019
In times of rapid technological growth and expansion in communications tools, it pays to stay ahead of the latest developments. As you’re preparing your strategies for tackling the newest compliance challenges, there are a few best practices you should keep in mind.
May 30, 2019
In this report, learn effective strategies for enabling collaboration technology that meets compliance obligations and your business goals.
May 08, 2019
FINRA and the SEC have recognized the growing role of social media in financial services, and they've provided guidance on extending your compliance programs to encompass this channel. This guide contains practical steps to help you develop a social media strategy that meets regulatory requirements while helping gain maximum business value from your efforts.
February 26, 2019
Looking back on 2018’s compliance practices and examination expectations.
January 25, 2019
The SEC and FINRA recognize social media’s growing role in firms’ marketing and communications strategies, and have provided guidance on extending compliance programs to this dynamic channel.
This guide contains practical steps that will help you develop a social media strategy and policy that meets regulatory requirements for record keeping and supervision while gaining business value.
August 01, 2017
Some businesses are struggling as their employees and increasingly clients now expect to use text messaging as a tool to conduct business.
This guide will help you build a strong mobile risk management program that will let your organization take advantage of text messages for business.
March 30, 2017
Firms are stuck with costly, manual processes that don’t scale well with all of the new types of communications that must be supervised, but there are simple steps they can take to turn supervision around.
October 20, 2016
For the sixth consecutive year, the Smarsh Electronic Communications Compliance Survey illustrates the key trends and concerns facing compliance around the retention and oversight of electronic communications.
June 06, 2016
This joint white paper from Hootsuite™ and Smarsh® examines how members of the financial services industry can approach social media in a way that engages customers, and maintains compliance.
Read this white paper for tips to develop a social media strategy, establish policies and procedures, and find low-risk ways to monitor online activities.
January 28, 2016
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