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Outdated SEC communications rules are putting compliance and competitiveness at risk
The Securities Industry and Financial Markets Association is urging the SEC to modernize its communication and recordkeeping rules. Robert Cruz, Vice President of Information Governance at Smarsh, joins us to explain why the current framework is falling behind, how firms are navigating enforcement risks, and what a workable compliance model could look like.
See Privacy Policy at https://art19.com/privacy and California Privacy Notice at https://art19.com/privacy#do-not-sell-my-info.
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By Federal News Network | Hubbard Radio
4.1
4848 ratings
The Securities Industry and Financial Markets Association is urging the SEC to modernize its communication and recordkeeping rules. Robert Cruz, Vice President of Information Governance at Smarsh, joins us to explain why the current framework is falling behind, how firms are navigating enforcement risks, and what a workable compliance model could look like.
See Privacy Policy at https://art19.com/privacy and California Privacy Notice at https://art19.com/privacy#do-not-sell-my-info.
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