Smarsh, a vendor of cloud-based archiving, and Symphony Communication Services, a chat and collaboration vendor, are joining forces to help their mutual clients archive, search and produce Symphony content to support the recordkeeping and electronic communication oversight requirements of regulators FINRA and the SEC. Symphony is an open source communications platform that features security support,… Read More >>
Regulatory Guidelines Combat Social Media Compliance Fears
The financial services industry should thank regulators for establishing the rules of the game for social media compliance because it spurred the enormous adoption of social media strategies, according to a panel of experts and industry insiders at FTF’s Social Media and Compliance (SMAC) in financial services event, which took place in downtown New York… Read More >>
Smarsh Opens London Office
Smarsh, a U.S.-based provider of cloud-based archiving solutions for compliance and e-discovery, reports the opening of a London office, which a statement characterizes as “fully operational.” Daniel Klein, director of business development for the vendor, is leading the Smarsh UK operation. The US-headquartered company says in a statement that it is “now well-positioned in the… Read More >>
ProEquities Taps Smarsh for Social Media Compliance
Smarsh, a provider of hosted archiving solutions for compliance and e-discovery, reports that it has been selected by ProEquities, a broker-dealer for independent registered representatives and financial advisors, to provide it with LinkedIn, Facebook, Twitter and email archiving services. The services will enable ProEquities to meet the needs of its advisors and its IT and… Read More >>
Celebrating FinTech Innovation
Barring the unforeseen, our magazine supplement detailing winners of the FTF News Technology Innovation Awards for 2014 will be online soon. We’re featuring profiles of the fintech providers in attendance for the gala presentation and insights from the individuals recognized for their major contributions. To complete the package, we have photos from a perfect cruise… Read More >>
A Compliance Speed Bump in an Era of ‘Social Selling’
LinkedIn, a social media site for business interactions, is hoping to take “social selling” to the next level via an upgrade of Sales Navigator to a software-as-a-service (SasS), enterprise-wide offering. Anticipating demand for Sales Navigator, social media compliance provider Hearsay Social is developing capabilities to help its financial services clients use the sales tool and… Read More >>
Marsh Sees a Social Media Policing Shortfall
Entrepreneur Stephen Marsh founded Smarsh in 2001 as a cloud-based archiving and compliance solution provider for electronic communications. Before Smarsh, he was head of product management and development at CCBN, now a division of Thomson Financial. He also served in key positions at Fidelity Investments and Morgan Stanley Dean Witter. In addition to his work… Read More >>
The Winners’ Circle for the FTF Awards
Cynthia Meyn, executive vice president for operations at bond fund manager PIMCO, was voted Ops Business Person of the Year as part of the FTF News Technology Innovation Awards 2014. In addition, entrepreneur Stephen Marsh, founder and CEO of Smarsh, the email and social media compliance provider, was chosen FinTech Person of the Year while… Read More >>
Broadridge Targets Collateral as GFI to Use XBRL
Broadridge Targets Collateral Management Broadridge Financial Solutions, a solutions provider for financial firms and corporate issuers, is launching CollateralPro, an enterprise-wide system for bilateral and cleared derivatives, and securities financing transactions, officials say. CollateralPro, which can be hosted as a managed service or deployed onsite, has optimization module to help clients improve liquidity and profitability… Read More >>
Omgeo Adds LEI Support as Smarsh, Nasdaq and Protegent Advance Social Media Surveillance
Omgeo Adds LEI Support to Alerts Via Avox Post-trade services provider Omgeo now has support for the global Legal Entity Identifier (LEI) initiative via additional entity- and fund-level fields and data as part of its Alerts web-based global database for account and standing settlement instructions (SSI), officials say.The new LEI support comes via Omgeo’s partnership… Read More >>
