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Outdated SEC communications rules are putting compliance and competitiveness at risk

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Manage episode 522618447 series 1532803
Content provided by Federal News Network | Hubbard Radio. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by Federal News Network | Hubbard Radio or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://podcastplayer.com/legal.

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.

  continue reading

2180 episodes

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iconShare
 
Manage episode 522618447 series 1532803
Content provided by Federal News Network | Hubbard Radio. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by Federal News Network | Hubbard Radio or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://podcastplayer.com/legal.

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.

  continue reading

2180 episodes

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