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What Firms Need to Change in a Social, Mobile World

Posted by - August 10, 2017
The New Reality of Compliance More than halfway through 2017, it’s become clear: This is the year that mobile and social technologies, paired with shifting demographics, are changing compliance practices forever. What’s the Big Deal with Mobile and Social? Mobile, social and the changing demographics of the investor community –…
man with steam coming from his ears

Employment Law Retaliation in the Digital Age

Posted by - July 14, 2017
What Kinds of Social Media Posts are Protected? Employees are increasingly using social media to complain about their employment and employers.  As a result, employment-law retaliation claims based on social media activity are on the rise. Employers must treat social media activity with the same concern for retaliation claims as…
multiple social media message icons floating above smartphone screen

In Electronic Supervision, Perfection isn’t Mandatory

Posted by - April 19, 2017
Regulators don’t expect perfection in your compliance systems, but they will require a clear set of policies governing all communications channels, documented evidence of employee training, and safeguards for remediation of any violations. In this piece, Smarsh Chief Evangelist Mike Pagani provides a fresh perspective on supervising electronic communications.
numerous apps in a social media folder on a smartphone

The Message from FINRA is Clear

Posted by - March 10, 2017
Under U.S. Securities and Exchange Commission (SEC) and FINRA record-retention requirements, firms must ensure the capture of business-related communications regardless of the devices of networks used. Smarch Chief Evangelist Mike Pagani explains why this mandate is a clear confirmation that the days of only having to maintain compliance systems for…
group of people holding smartphones

Disparaging Company Tweets May Be Protected

Posted by - September 20, 2016
Guidance for HR from the NLRB The National Labor Relations Board continues to intensify its campaign against overly restrictive workplace social media policies. The latest target: company rules that prohibit certain activity among employees using social media. A corporation’s reach in this regard may not be nearly as long as…
Interacting with clients via social media is becoming more and more prevalent, making it more challenging than ever to ensure compliance.

Why Social Media Has Become the New BYOD

Posted by - April 22, 2016
Employees are stepping up their interest in using their own personal social media apps, accounts and established networks of contacts to communicate for business purposes, given the immediate reach and traction they provide. Maintaining compliance has just gotten much more difficult, but the good news is that there are key…