The Smarsh 2011 Electronic Communications Compliance Survey shed light on the electronic messaging compliance concerns of professionals in the field in a year that saw emerging challenges like social media and mobile messaging add complexity to the compliance landscape. In fact, almost four in every five survey respondents were concerned about new communication channels and methods of communicating. A year later, FINRA has reinforced its focus on social media and electronic communications in its 2012 examination priorities letter. The SEC also recently released a Risk Alert on social media after charging an Illinois-based adviser with selling fictitious securities on LinkedIn.

How are your peers supervising social media use at their firms? What are the top priorities for compliance departments with regard to supervising electronic communications, and how have these changed since last year? The time is clearly right to reexamine the attitudes and concerns of compliance professionals!

Smarsh is calling on compliance professionals in financial services to provide insight through a short questionnaire for this year’s compliance survey. 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 experience of those tasked with managing these growing challenges will truly shed some light on the related pain points and best practices.

Take the Survey!

Respondents to the survey will be the first to receive a copy of the survey results report when it is released, and for each qualified registrant, a donation will be made to one of four selected children’s charitable organizations:

Be assured that all answers are completely confidential and anonymous, and will only be analyzed in aggregate. Learn more about the survey at, and please forward on to any of your colleagues in the industry.

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