Assisted Review: Expert Supervision at Your Service
Assisted Review: Expert Supervision at Your ServiceFOLLOW USff-font-awesome4 icon-facebook-fff-font-awesome4 icon-twitterff-font-awesome4 icon-linkedin Your Compliance Team’s Time is too Valuable to Waste Reviewing White Noise
For compliance teams, meeting SEC and FINRA requirements for the retention and oversight of electronic communications is an unforgiving part of the job. As email an...
What Mortgage Companies Can Learn from Airlines in Social Media Crisis Responses
The blizzard of bad press after United Airlines ejected a boarded passenger has died down, but if airlines were people (and had obituaries), United’s would surely include the April 9, 2017 episode. The outrage was immediate and international, but outrage wasn’t the only consequence. United was vilified on social media, mocked on national TV and…
Top RIA Compliance Deficiencies: Advertising
This is a guest blog post from RIA in a Box, originally seen on their blog. For more information on Smarsh and RIA in a Box, click here. In 2013, coordinated state exams conducted by members of the North American Securities Administration Association (NASAA) uncovered the top registered investment adviser (RIA) compliance deficiencies across 20 categories. Last week we discussed the deficiencies…
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