Name: REG BI -120 Days On
Start: 2020-10-28T18:00:00Z
End: 2020-10-28T18:00:42.000Z
Location: BrightTALK
Rating: 5

Global Relay (www.globalrelay.com) is a leading provider of compliant electronic communications archiving, messaging, supervision, information governance, and eDiscovery. Our 20,000+ customers in 90 countries include highly regulated organizations and other corporate firms, including financial services, insurance, technology, energy (oil and gas), legal, government and healthcare.

Global Relay Archive preserves more than 60 data types within a unified, highly-secure and scalable cloud repository. Data types include: email, collaboration platforms (e.g. Microsoft Teams, Slack, Zoom), Instant Messaging, Bloomberg®, Refinitiv, social media, text messaging, voice, and trade data.

Global Relay Message enables organizations to collaborate both internally and externally, confident that compliance, privacy, and security requirements are being met. Contact us at connect@globalrelay.net

Cases involving bullying, harassment, corporate data leaks, and intellectual property theft committed via workplace communication, and more recently adopted collaboration, channels are on the rise.

Consequently, HR managers must be able to ensure all employee communications comply with corporate policies and ethical standards – and to address violations in a timely manner. The Legal team, on the other hand, needs to be able to perform eDiscovery searches, place legal hold on relevant ESI, and produce evidentiary-quality records during investigations and legal proceedings – all at breakneck speed.

Yet most companies don’t have a clear policy covering increased use of newer collaboration and messaging tools – and the volume of data they contain – that could prove critical to workplace investigations.

Join Bo Nelson, Global Relay’s Legal & eDiscovery Lead, and Robert Kelso and Phil Knox, Forensic Pursuit’s CEO and Director of Business Development respectively, as they examine the critical role of information governance in managing organizations’ legal, security, and reputational risks.

Topics they’ll cover include:
▪ Determining data ownership (company-owned vs. personal) for governance
▪ The impact of rising data counts/types on recordkeeping & management 
 ▪ The challenges in overseeing new workplace productivity & collaboration tools
▪ The vital role of data governance solutions in workplace investigations
▪ Investigation response: Best practices and scenario-based examples

Where is the data? Workplace Investigations in the New World of Messaging

Last year, despite pivoting to remote working due to COVID-19, financial firms demonstrated their ability to remain efficient, productive, and compliant. Regulators, for their part, showed a remarkable willingness to provide temporary relief to firms – even amending some of their requirements to facilitate and increase compliance. 

What’s next for the finance industry, especially when we return to some degree of normalcy? Will regulators be as flexible and open-minded in 2021 as they were last year? What effect can a Democrat-controlled SEC potentially have on securities regulations? 

Join Global Relay’s Chip Jones, Executive Vice President-Compliance, and Donald McElligott, Vice President-Compliance Supervision, as they look at what’s in store for the finance industry in 2021. Special guest Paul Dean, Global Relay’s Director-Analytics & AI, will also share his thoughts on AI’s impact on the compliance world.

Chip and Don will talk about:
▪ The sustainability of remote work for financial professionals
▪ Regulators’ response to pandemic effects 
▪ Consolidations prompted by the pandemic
▪ Democrat-controlled SEC’s impact on securities regulations

Expert Insight: A Look Ahead with Chip Jones

What a year 2020 was! 

Almost overnight, COVID-19 upended lives, disrupted economies, and turned on its head just about every industry. Financial services firms suddenly faced new challenges – from implementing essential remote work technology, to ensuring communications of remote employees were captured and supervised, to ascertaining staff continued adhering to security protocols, and more.

The finance industry needed a quick, efficient way to transition into a remote work environment. Global Relay, the industry-leading cloud archiving provider, dutifully stepped up to the challenge – providing its customers with technology to compliantly capture, supervise, and preserve their critical eComms data. 

Join Global Relay’s Chip Jones, Executive Vice President-Compliance, and Donald McElligott, Vice President-Compliance Supervision, as they look back at the year that was.

Chip and Don will review:
▪ How Global Relay helped customers address compliance challenges during the pandemic
▪ Top regulatory issues faced by the financial services industry in 2020
▪ Other industry challenges: 
 ◦ Compliance with FINRA Supervision Rule 3110
 ◦ Remote Work and Cybersecurity Concerns
 ◦ Disruption of Investment Professionals Qualifications Exams

Expert Insights: 2020, A Year in Review with Chip Jones

What does successful ecomms data migration look like? What should you consider migrating, and what are the legal requirements involved? 

Anthony J Diana, Partner, Reed Smith is a recognized leader in eDiscovery and information governance issues.

In this session Anthony will:
-  Share his experience in archive migration
-  Outline the strategies which deliver success
-  Highlights the key issues which enterprise organizations considering data migration must address

Data Migration Success: Expert Insights from Reed Smith's Anthony J Diana

COVID-19 underscored the importance of messaging and collaboration platforms to business continuity, as organizations worldwide adopted Slack, Microsoft Teams, Skype, text, and other channels as part of their remote-work strategy. But the resulting surge in message counts also highlighted the need for an effective data management program – without which firms risk compliance, security, and legal exposure.

The dependence on collaboration platforms, including consumer messaging channels not designed for business, will continue to accelerate as more employees work from home. In this webinar, our special guest Korrine Kohm, Director of Retail Wealth Services at Compliance Solutions Strategies, and Global Relay experts will share surveillance best practices to mitigate risks associated with the use of messaging and collaboration platforms.

Join our webinar to learn:
▪ The risks posed by non-business/consumer messaging systems 
▪ Compliance supervision challenges with messaging and collaboration platforms
▪ Best practices for surveillance policy deployment across messaging and collaboration platforms
▪ Compliance best practices for deployment of messaging and collaboration platforms

Speakers:
Korrine Kohm, Director of Retail Wealth Services, Compliance Solutions Strategies
Matis Jasicek, Regional Director, Global Relay 
Raewyn Danvers, Lead Message Community Specialist, Global Relay

Surveillance Best Practices for Unified Communications

With regulators warning that financial services firms must maintain effective supervision, including recording certain types of communications, having a robust Business Continuity Plan in place is key. Many businesses coped well with the overnight switch to remote working, however many more were caught off guard.

If you were one of them, or you want to be better prepared for whatever business continuity challenges lie ahead, watch our webinar for best practice tips and advice on effective policy management.

Join Agnes Filocha, Donald McElligott, and Bo Nelson who will discuss:

•	Whether firms were prepared for the pandemic
•	How business leaders and regulators responded
•	Amundi Pioneer’s pre-pandemic approach to electronic communications policy management and review
•	The impact of COVID-19 on business continuity plans and remote working
•	Lessons learned and tips for mitigating risk in the future

Case Study: How to Manage Policies for Business Continuity and Remote Working

In 2019, the US SEC (Securities and Exchange Commission) passed the Regulation Best Interest (REG BI) rule that bound broker-dealers by law to put the best interest of their clients first. 
REG BI came into effect on June 30, 2020 and 120 days on, Global Relay and Bates Compliance experts will assess the impact the biggest change to regulation in years has delivered.
Watch this webinar to learn:
-	What has happened since REG BI came into effect
-	How it has impacted the technology side of business
-	Common concerns raised by the SEC

REG BI -120 Days On

Compliance

Regulations

REG BI

RegTech

The e-discovery community covers emerging trends in e-discovery solutions, data mapping and data collection. Find best practices for email archiving, selecting the right e-discovery solution for your organization and more. Join the community to learn from top legal, compliance and e-discovery professionals and prepare yourself for what lies ahead.

e-Discovery

The legal community on BrightTALK combines the fields of employment law, e-discovery, intellectual property and environmental law to create a thriving ecosystem of legal resources. Attend live and on-demand webinars dealing with employment contract law, e-discovery solutions, intellectual property software and sustainable development from leading lawyers and legal professionals to gain knowledge in a wide range of fields. Join the community and be part of the conversation by attending live legal webinars and connecting with industry thought leaders.

Legal

The IT security community on BrightTALK is composed of more than 200,000 IT security professionals trading relevant information on software assurance, network security and mobile security. Join the conversation by watching on-demand and live information security webinars and asking questions of experts and industry leaders.

IT Security

Increasing expectations for good governance, effective risk management and complex demands for corporate compliance are presenting a growing challenge for organizations of all sizes. Join industry thought leaders as they provide you with practical advice on how to implement successful risk and compliance management strategies across your organization. Browse risk management resources in the form of interactive webinars and videos and ask questions of expert GRC professionals.

IT Governance, Risk and Compliance

As an IT professional, many of the problems you face are multifaceted, complex and don’t lend themselves to simple solutions. The information technology community features useful and free information technology resources. Join to browse thousands of videos and webinars on ITIL best practices, IT security strategy and more presented by leading CTOs, CIOs and other technology experts.

Information Technology

Welcome to the US financial advisor community on BrightTALK. Join the community to learn alongside thousands of financial advisors and registered investment advisors. Access relevant and timely content on investment products and strategies, regulations and compliance and the market landscape. You can also find practice management insights on topics such as client acquisition and retention, life planning, marketing and social media best practices.

US Financial Advisors

Internal audit and compliance professionals are facing increasingly stringent regulatory requirements when it comes to compliance reporting and internal control procedures. Join the audit and compliance community to learn best practices from thought leaders on topics such as regulatory compliance, internal audit checklists and audit program strategies.

Audit and Compliance

Effective financial management strategies can help organizations meet their business objectives. The financial management community on BrightTALK is made up of engaged finance and accounting professionals. Find relevant webinars and roundtable discussions featuring financial planning advice from industry thought leaders and insights into optimizing financial reporting, accounting, risk management and value measurement.

Financial Regulation

Join this new, vibrant community to learn and connect with top thought leaders, startups and banks who are disrupting the financial services industry. Keep up with the latest news and trends in Fintech and take part in lively debates on topical issues and challenges.

Fintech

The accounting and finance community on BrightTALK features presentations from leading accountants and finance professionals. The accounting community includes tax planning strategies, QuickBooks webinars and other accounting webinars, while the finance community features presentations on financial capital regulations and forensic data analytics. Join the conversation by attending live financial and accounting presentations and connecting with industry thought leaders.

REG BI -120 Days On

Presented by

About this talk

More from this channel