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  • The Financial Adviser's Guide to Compliant IM and Collaboration

    The rise of collaboration platforms and the compliance requirements they bring with them are a symptom of a larger reality: Workplace communications are changing. Read on to learn how you add IM and collaboration platforms to a compliant ecosystem in your organization.

  • The Financial Adviser's Guide to Social Media Strategy and Policy

    The U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) recognize social media’s growing role in firms’ marketing strategies. In this guide, find practical steps to help you develop social media strategy and policy that meets social media recordkeeping and supervision regulatory requirements.

  • Respond to the Changing Mobility Landscape

    As employees rapidly adopt mobile devices for work communications, a challenge was created for organizations needing to capture and review all business communications for regulatory or public records response purposes. In this white paper, learn how organizations can build a strong, compliant mobility ecosystem.

  • Electronic Communications Compliance Survey Report

    Regulatory oversight is growing more sophisticated as the communications technology landscape continues to evolve. In this 2019 research report, Smarsh revels key findings from a survey of financial services professionals responsible for the retention, archiving, and oversight of electronic communications.

  • How To Achieve And Maintain Compliance For Your Organization's Electronic Communications Data

    When it comes to the rapid adoption of modern communication and collaboration tools, it's imperative organizations get ahead of capturing and archiving significant volumes of data. In this white paper, learn how to address common compliance challenges that are associated with electronic communications data.

  • Regulatory Updates Roundup Of 10 Recent FINRA And SEC Violations And Penalties

    Over the past year, the SEC and FINRA have been enforcing communications supervision compliance regulations throughout the financial services industry. In this white paper, discover 10 of the most notable violations from Smarsh's monthly Regulatory Update blog posts to review how they occurred.

  • Key Considerations when Making the Move to Office 365

    In this white paper, discover key considerations firms should address to make their Office 365 migration more efficient and cost effective as well as how to deploy Office 365 while maintaining regulatory compliance.

  • Best Practices for Stopping Risk in its Tracks

    How can firms improve their supervision workflows to better reveal risk? In this guide, examine some strategies for staying on top of the rapidly evolving communications landscape, and the new vectors for risk it offers.

  • The Financial Advisor's Guide to Compliant IM and Collaboration

    Download this guide to learn the key steps to enabling modern instant messaging and collaboration platforms while maintaining compliance.

  • Public Records Modernization: Your Key to Compliance

    Ensuring your recordkeeping efforts are cutting edge is your best strategy for avoiding fines and litigation resulting from public records gaps. In this crash-course guide, explore how modernizing your public recordkeeping solutions can help protect your organization from costly fines and bridge critical data gaps.

  • Text Messages & Social Media in Public Safety

    The popularity of text messaging and social media has exploded in recent years, including in the workplace. In this white paper, examine how public safety agencies can create policies that allow for compliant use of text messaging and social media, and how to retain those communications for an efficient response to open records requests.

  • The Public Sector Guide to Text Messaging Policy and Retention

    Sending text messages between mobile devices is now public business, and by law, the records need to be preserved. This white paper contains steps that will help public sector organizations develop a text message policy and retention strategy to protect against the risk involved with use of this popular, universal form of communication.

  • Guide to Compliant Archiving: Have Your Cake and Eat It Too in a Post-Email World

    Despite the increased scope of data organizations need to capture and archive, new tools have simultaneously emerged to simplify and automate this process. Downloading this guide will assist you in achieving and maintaining compliance without impacting users' overall productivity.

  • The Chief Risk Officer and the Dreadful, Horrid, Inefficient, Very Bad Day

    Learn how you can handle operational, market, compliance and reputation concerns, and why it is important to get a good handle on your company's electronic communications data.

  • 5 Steps to Eradicate Text Messaging Risk

    Prohibiting the use of text messages in your organization does not protect you from risk - it simply hides it. Discover 5 steps on how to leverage text messaging more in your organization as a legitimate communication channel while reducing your organization's compliance, legal and reputational risk.

  • The Public Sector Guide to Text Messaging Policy and Retention 2017 Edition

    This white paper explores how to protect against the risks associated with text messaging by using a cloud-based archiving platform. Learn how to develop a smart text message policy and retention strategy that enables you to respond readily to open records requests or other e-discovery needs.

  • Archiving, Managing, and Record Keeping for Public Sector Organizations

    Public sector organizations need to respond quickly and accurately to open records requests. Inside, learn how to identify what information needs to be retained and archived, best practices and procedures for retaining communications, implementing an automated tool, and the important roles stakeholders play in the records response process.

  • The Public Sector Guide to Social Media Strategy and Policy

    This guide outlines some practical steps you can take to develop a social media strategy and policy to help gain the maximum value from your online efforts.

  • Compliance Standards for Data Governance

    This e-guide teaches you about data governance and how to best comply with data quality assurance policies put in place by industry consortia. Learn about the framework for ensuring the fidelity of data used in business processes.

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