Robert Cruz

Robert Cruz is Vice President of Information Governance for Smarsh. He has more than 20 years of experience in providing thought leadership on emerging topics including cloud computing, information governance and discovery cost and risk reduction.



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FINRA’s guidelines in a recent regulatory notice address a host of concerns around compliance while employees work from home. Smarsh’s Robert Cruz discusses what firms should be doing to address the latest FINRA guidance. FINRA, the government-authorized nonprofit organization that oversees broker-dealers in the securities industry, recently issued a regulatory notice on how to manage a remote work environment during the COVID-19...

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businesswoman working at laptop

The COVID-19 outbreak is requiring companies to consider new policies and systems – ones conducive to a largely stay-at-home workforce. Smarsh’s Robert Cruz offers guidance on assessing solutions to facilitate this shift. Addressing the demands of a mobile, stay-at-home workforce is not a new topic for the compliance and risk community. However, the recent global coronavirus outbreak known as COVID-19 has suddenly...

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Microsoft Teams app on smartphone

Emerging technologies are complicating compliance for financial services firms. Smarsh’s Robert Cruz, an expert on information governance and regulatory compliance, shares some of the key the challenges they face, as well as a path forward. For financial firms to stay compliant, they need to meet all the books-and-records and supervisory mandates required by FINRA and the SEC. But the ever-expanding variety of...

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Communication Tools

Evolving Communication Tools Pose New Challenges for Security Banks aren't strangers to reining in their employees' use of communications tools. However, the methods preferred by customers and client reps continue to change, and if banks don't keep up with these rapidly changing tools, even those that have made a massive investment into a compliance infrastructure over the years may find themselves struggling...

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dominos converging

Collaboration Needed to Effectively Manage Data Security Cyber exposure at all levels of business operations, from financial transactions to customer service and customer apps, is increasing. At the same time, new regulations regarding the governance of data are posing higher potential fines, to the point of also posing a threat to business. As a result, security and compliance personnel are seeing their...

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