SmarshCONNECT – Featured Live Sessions

Discovery of larger and larger sets of heterogeneous content has never been more challenging. The past 18 months have driven discovery toward voice, video and collaborative apps, which today’s discovery tools are not well designed to address. How can discovery teams keep up with the pace of innovation in digital communications?

Cloud is no longer just a deployment option. Today’s public cloud innovations are enabling firms to achieve an unsurpassed time-to-value by offering always-on availability, hyper-fast deployment of new features, and scaling capability to drive the largest workloads. This session will address how firms are leveraging advances in cloud to drive their businesses into the future.

The digital landscape is fueling an explosive growth in the complexity and volume of open records requests. As state and local agencies have adopted more tools, their requirements for capturing communications data have increased and become more complex. For the county IT leader, keeping track of the massive amount of data can be a challenge, but failing to do so can expose them to risk as well as cyber security threats.

Join Rita Reynolds, CIO for the National Association of Counties, John Matelski, CIO for Dekalb County and Robert Cruz, VP, Information Governance, Smarsh, and hear these compliance experts share their insights on the growing digital landscape and what that means for counties. They will discuss:

• Unrealized blind spots from Microsoft Teams, Zoom, and other discoverable data for open records requests

• Creating efficiencies with open records requests by evolving how you store and access your data

• The impact of the infrastructure bill and making the most of cybersecurity funds for extra protection

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.

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

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

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

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

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

Speakers:
Wiley Asher, Sr. Customer Success Manager - Entreda

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

Getting Started!

Our Summer Games charity step challenge is about to kick off, so here are a few tips and instructions to get you started on the right foot.

1) Download the MoveSpring app on you mobile device:

https://link.movespring.com/join?orgCode=Smarsh&groupCode=MZE927

2) Use Code: 'Smarsh' to join the Summer Games Challenge

3) Share these same link and code with your +1 guest to compete as team. Team setup instructions will be provided in the app.

Send any questions to: SummerGames@smarsh.com

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Join anytime to 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

A fireside chat with Peter Wannemacher, Principal Analyst at Forrester, Gary Sorrentino, Co-CIO, Zoom and Robert Cruz, VP, Information Governance at Smarsh on how businesses will engage with customers in the future and how leaders need to build their strategies to embrace this future while staying ahead of changing regulations.

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: Review of recent regulatory action focused on the use of prohibited networks, e.g. WhatsApp
- Cyber: Proposed SEC Rules for Cybersecurity Risk Management: What Investment Advisory Firms Need to Know
- 17a4: Discuss the proposed update to SEC 17a4 storage rule and critical steps regulated firms need to take to maintain compliance

Speakers include:
Marianna Shafir, Regulatory Advisor - Smarsh
Mimi LeGaye, President - MGL Consulting LLC

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