SmarshCONNECT – Featured 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

Join Smarsh Chief Product Officer, and our strategic partner AWS for a discussion of the common challenges we see amongst our joint customers, along with demonstrations of how our technology integration is designed to address these real-world use-case scenarios.
- How to manage an increasingly digital work environment (home networks, mobile devices, new communications tools, etc.) in financial services, and whether, or not, prohibition policies are effective parameters
- The evolving tools and features that employees and customers are drawn to, including encrypted apps like WhatsApp, whiteboard functionality in Microsoft Teams, Zoom meetings, and the variety of communications exchanged across those channels
- What to consider for compliance technology now that more business interactions on digital platforms and apps are generating larger, faster volumes of information to be securely captured, archived, monitored, and analyzed

Today’s reality is that employees are working partially in office, partially at home, and always connected to their mobile devices. This hybrid scenario is here to stay. Firms are challenged to maintain employee engagement while ensuring that compliance controls work uniformly – regardless of location. In this session, we’ll discuss how organizations are implementing strategies to navigate the future of work.

Workstream collaboration tools like Zoom, Slack and Microsoft Teams have fundamentally changed the way that firms do business. At the same time, a new demographic of client and employee are bringing social and mobile applications into the workforce, driving a new level of engagement and interaction. This panel will discuss strategies to embrace these new data sources while mitigating the accompanying risk.