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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Communications Compliance Review in 2018: What All Firms Can Learn from Financial Services

The review of employee communications for possible compliance policy violations has never been more important – and more complex. The complexity is being driven by the adoption of new communications tools that offer richer, more dynamic, and more effective means of collaborating with embedded voice, messaging, and app sharing capabilities. The days of attempting to […]

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The Conversation is Shifting: A Changing Workplace and Untethered Workforce

It’s no secret that office life is changing. Across industries, the silos that technology helped create are being torn down to increase productivity and knowledge sharing. This transition is clearly for the better, but many organizations in regulated industries are struggling to have their compliance programs keep pace with the demand for more mobile-centric communication […]

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The Year for Action: 5 Electronic Communications Security & Compliance Trends for 2018

In 2017 we saw an injection of corporate spend and significant planning in preparation for addressing regulations coming into effect in 2018 – specifically, MiFID II and GDPR. As well, an ever-increasing demand for more effective and efficient electronic communications compliance engendered new levels of focus on how Fintech technology can help. No matter the […]

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Next-Gen Surveillance Must Identify the ‘Unknown Unknowns’

When it comes to enforcing compliance at regulated companies, it’s one thing to detect misconduct that fits a pre-defined pattern. For example, if you know that certain phrases are associated with violations, simple keyword monitoring can identify them. But, if history teaches us anything, it’s that human beings are infinitely creative when it comes to […]

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