Supervision Survey On-Demand Webinar

Financial services organizations are required by FINRA and SEC rules to review electronic correspondence to ensure that communications follow regulatory rules. But there is not a specific set of supervision procedures used by the industry.

We recently surveyed compliance professionals on the topic to explore common practices, trends and concerns around the supervision of electronic communications. In case you missed it, please watch this important, on-demand webinar by clicking below:
Source https://www.smarsh.com/webinars/supervision-survey-webinar/