the leading provider of hosted archiving and compliance solutions for
email and electronic communications, is conducting its third annual
survey of compliance professionals in the financial services industry on
the retention and oversight of electronic communications, including
email, instant messaging and social media. The survey will help shed
light on the compliance community's concerns and best practices in
meeting the electronic recordkeeping, supervision and data protection
obligations detailed in regulations such as Rule
17a-4 of the US Securities Exchange Act of 1934, NASD
Rule 3010, FINRA
Rule 4511 and Rule
204-2 of the Investment Advisers Act of 1940.
“The 2012 survey results demonstrated how technology-driven business
developments, like the proliferation of mobile devices and the emergence
of new communication channels, are creating challenges when it comes to
governance and retention,” said Stephen
Marsh, CEO and founder of Smarsh. “With regulatory
enforcement on the rise, the findings from this year’s survey will
provide compliance officers with valuable insight into how their peers
are navigating these developments against the backdrop of the evolving
Compliance professionals are encouraged to take the survey at www.smarsh.com/compliancesurvey.
For each qualified registrant, Smarsh will make a charitable
contribution via Smarsh
Full Circle, the company’s community service initiative, or provide
a $20 Amazon.com Gift Card.
The survey takes approximately 10 minutes to complete, and all answers
remain anonymous and will only be analyzed in aggregate. A report of the
key findings from the survey will be issued by Smarsh in spring 2013.
The 2012 Electronic Communications Compliance Survey Report is also
available at www.smarsh.com/compliancesurvey.
Smarsh® provides hosted solutions for archiving electronic
communications, including email,
messaging and social
media platforms such as Facebook, LinkedIn and Twitter. Founded in
2001, Smarsh helps organizations manage and enforce flexible, secure and
cost-effective compliance and records retention strategies. For more
information, visit www.smarsh.com,
on Twitter or like Smarsh on Facebook at www.facebook.com/SmarshInc.