The Next Generation of Supervision is Here!

Supervisory review of employee communications has been an escalating topic as of late. And for good reason –  recent actions from the SEC and FINRA over the past few weeks, were topped off by news last Friday that the SEC is taking action against 10 firms for a pump-and-dump scheme that netted $27M in fraudulent stock […]

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Smarsh and Actiance Offerings Highlight 2018 KMWorld Trend-Setting Products List

We’re proud to share that both the Actiance Platform (featuring Alcatraz, Socialite and Vantage) and The Archiving Platform from Smarsh have earned places of honor on the KMWorld Magazine Trend-Setting Products of 2018 list. The leading voice serving the knowledge management market, KMWorld Magazine provides actionable information and in-depth analysis to more than 50,000 subscribers […]

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Cisco Systems Partners with Smarsh & Actiance to Tackle Retention and Monitoring for Jabber, WebEx Teams

Organizations all over the world are changing the ways they communicate with Cisco unified communications. Smarsh and Actiance are excited to strengthen our partnership with Cisco and help customers manage the e-discovery, regulatory or brand risk inherent in electronic communications. We are excited to share that Smarsh and Actiance capture and archiving support for Jabber […]

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Key Steps For Migrating From Legacy Archives To Modern Solutions

Modern business communications are evolving more rapidly than anyone could have guessed, even as recently as 10 years ago. While email remains a major player in electronic communications, channels such as social media and SMS/text messaging continue to grow in prominence — which means organizations hoping to stay on top of their regulatory compliance requirements […]

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Making the Leap from CA Data Protection to Actiance Alcatraz

The past few years have seen a seismic shift in the channels of communication utilized by businesses and their employees to contact both colleagues and clients. Despite this, many organizations continue to rely on supervisory solutions that are wildly out of date, and as a result are struggling to incorporate newer technologies such as mobile […]

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Superveillance: Producing Integrated Insights Into Conduct

By Gregory Breeze, Shaun Hurst & Robert Cruz As follow up on the earlier post that described the collision of supervision and surveillance as ‘Superveillance’, we want to dive deeper into key principles and attributes that firms should consider as they seek solutions that go beyond the boundaries of traditional supervisory and surveillance tools. As […]

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Recap: 2018 FINRA Annual Conference

Congrats to FINRA for once again running a tremendous Annual Conference. Terrific to once again catch up with clients, prospects, partners, and colleagues from around the industry.  This year’s conference was a milestone for us, our first as a joined team of Smarsh + Actiance. It was great to hear the very positive feedback and […]

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Superveillance: Tracking the High Risk Brokers

As the broker-dealer world descends on DC for the Annual FINRA Conference this week, I wanted to return to the discussion of FINRA’s new guidance on Heightened Supervision, first discussed here.  Specifically, I’d like to click into the final point: •“ Embrace content surveillance: uncovering high risk broker activities may very well exceed the limits of […]

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High Risk Brokers: Can You Uncover the Information Risk?

As the Annual FINRA Conference draws closer, FINRA continues to send signals of its enforcement priorities for the balance of 2018.  As a follow-on to its January Exam Priorities Letter  FINRA has just released Regulatory Notice 18-15 “Heightened Supervision” that would require firms to adopt heightened supervisory procedures for brokers with histories of past misconduct. Among its […]

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