Are you at Risk? Efficient and Effective Supervision
In 2016 FINRA brought 1434 disciplinary actions against registered individuals and firms, and levied $176.3M in fines.
With the ongoing onslaught on new social media channels, voice, mobile, and messaging apps entering the workforce, are you able to capture and review all communications used by your firm today?
Join us for lunch with Financial Services compliance expert Elin Cherry, CEO of Elinphant, LLC for an interactive discussion on the latest regulatory requirements and how to implement an effective and efficient supervision strategy that addresses the compliance needs of an the evolving communications landscape.
At this interactive luncheon you will learn:
- Top communications priorities outlined by FINRA, IIROC, and SEC
- How to capture and supervise these new forms of communications like WeChat and WhatsApp, among others
- How Actiance can help you navigate compliance complexities and meet your Supervision obligations with confidence
Join us for lunch with Financial Services compliance expert Elin Cherry,
CEO of Elinphant LLC, for an interactive discussion of how social media,
messaging, and mobile apps are impacting compliance review practices.
Elin is the CEO of Elinphant a financial compliance services firm. Elin ensures compliance officers who serve clients are skilled and knowledgeable in relation to the clients business and needs. Elin is known for looking at compliance challenges as well as marketing and sales in an innovative and direct manner.
Subject Matter Expert (SME), Actiance
John Pepe, Subject Matter Expert (SME) for Actiance, is a compliance, supervision, and analytics specialist. He focuses on helping regulated firms solve eDiscovery and compliance challenges using industry best practices.