Modernizing Mobile Supervision at Enterprise Scale

Collaboration and communications tools are ingrained in businesses worldwide. However, the adoption of multiple communication channels necessitates flexible compliance and supervision programs.

While some firms are implementing automated monitoring solutions for emerging channels, others are still relying on manual procedures, such as random sampling for periodic voice communication monitoring. Failure to keep up with the times is not an option. The SEC, FINRA and CFTC have begun inquiring into firms' tracking of employee electronic communications — and the regulators are not shy about penalizing violators.

In this guide, EY and Smarsh will walk through use cases and reveal insight into:

• Industry drivers, including regulatory scrutiny, device decisions and cost vs. risks
• Key industry challenges around new technology, inadequate policies and ineffective monitoring
• Important decisions firms must make about implementing optimal e-comm solutions