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Smarsh CEO shares insights on social media compliance for advisers,...
Smarsh founder and CEO Stephen Marsh A recent InvestmentNews survey found Smarsh to be the leading provider of social media compliance software for financial advisers. SmartBrief recently caught up...
View ArticleTackling the Challenges of Trade Reconstruction
One of the lesser known financial regulations implemented as part of Dodd-Frank is the requirement for swap dealers to be able to produce a full reconstruction of a trade within 72 hours of a request...
View ArticleSurvey finds firms need to ‘mind the gap’ in e-communications compliance
The volume of data associated with communications in the financial services sector has exploded in recent years. But as firms allow communication to take place across more channels, a recent survey...
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