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Calling All Compliance Officers!

Posted by Adam Bullock on Feb 2, 2011 10:57:09 AM

Smarsh is looking for compliance professionals in the financial services industry to complete a survey on the compliance responsibilities surrounding the supervision, protection and recordkeeping of electronic communications by an organization, as mandated in regulations such as SEC 17a-4, SEC 204-2, FINRA 3010 and FINRA 3110.

 

The data collected in the survey is intended to give compliance officers insight into the concerns, priorities and best practices of others in the profession. Enforcing policy and supervising organizational use of electronic communications is an important part of a compliance department's responsibilities, and the information culled from the day-to-day experiences of those in the field will truly shed some light on the related painpoints and best practices.

 

Visit Smarsh.com/ComplianceSurvey for a link to the survey as well as further details. Be assured that all answers are completely confidential and anonymous, and will only be analyzed in aggregate.

 

As a "thank you" for qualified participation, respondents will be the first to receive a copy of the survey report in spring 2011 and a donation will be made to one of four selected children's charitable organizations:

 

 

Take some time and help contribute to this knowledge base with your participation. Toss in a copy of the report and a donation to a children's charitable organization with every qualifying participant, and I can't think of a better way to spend ten minutes! Please share Smarsh.com/ComplianceSurvey with colleagues and peers with compliance oversight responsibilities, and give to a good cause.

 

Thank you!

 

 

Adam Bullock is the digital media specialist for Smarsh and veteran blogger. In previous stops in his professional career, Adam has spent time with an Internet marketing firm as a project manager as well as a leading domain name registrar.

 

Smarsh was an OEN Tom Holce Entrepreneurship Award Winner in 2010 in the Growth Stage category, and was a finalist in the Working Capital Stage Company of the Year category in 2009.



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