Keeping in Step with E-Comm Monitoring and Archiving Oversight
Join us to hear from experienced industry professionals as they discuss e-comm monitoring and archiving oversight! The panel will tackle topics covering:
- The challenges of monitoring electronic communications
- Obstacles with managing personal communications vs. business
- Prevailing forms of communications and apps being used
- Multitude of messaging options and new vendor solutions
- SEC Response: post sweeps and current examination trends
- Revisit Policies: Specified sanctioned solutions and policies work? Does a blanket policy of “no” work?
- Mandate and monitoring the use of specific apps for business communications
- Archiving and recordkeeping: working with your vendors for solutions. Tech side:
- Mobile Device and app management, and audit capabilities
- Containerization – allows segregation of corporate and personal data/apps
- Be transparent in what is being monitored – have users attest to your Mobile Device Policy
For registered investment advisers, investment companies, broker-dealers, and transfer agents.
Speakers
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Matt CalabroManaging Director, Salus GRCMatt Calabro is a Managing Director at Salus GRC. His broad compliance, operations and consulting experience enables him to help organizations make compliance a strategic asset. He works with firms to develop compliance programs, conduct risk assessments and exams and implement control improvements. He has specific expertise on compliance matters relating to investments and trading for equities and fixed income, including CLOs and structured credit. Matt is an experienced chief compliance officer, having served as CCO for registered mutual funds, investment advisers and UCITS funds, both in an in-house and outsourced capacity.
Before joining Salus GRC, Matt was Executive Director and co-head of the Compliance Services practice at Confluence Technologies (formerly Ascendant Compliance Management). There, he was responsible for all aspects of the business, including business development and leading a team of consultants in client delivery. Prior to that, he was Deputy CCO at Macquarie Investment Management, where he led the daily activities of the firm’s compliance department and oversaw improvements in the compliance program and technology. Before Macquarie, Matt spent 20 years in Raymond James’ asset management business in a variety of compliance, operations and financial executive roles, and ultimately led mutual fund operations. Matt began his career as an auditor at Price Waterhouse.
Matt earned his B.S. in Accounting and Master of Accounting from the University of Florida. He is a Certified Public Accountant.
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Kelly RyanChief Compliance Officer, ZAIS Group, LLCMs. Ryan serves as Chief Compliance Officer and Director at ZAIS Group, with responsibility for the firm’s Compliance and Risk Reporting functions. She chairs ZAIS’s Conflicts and Cross Trades Committee. Ms. Ryan has worked as a paralegal in several prestigious firms as Kriss & Feuerstein LLP, Proskauer Rose LLP, Akin Gump Strauss Hauer & Feld LLP and ZAIS Group.
In 2017, Ms. Ryan joined the Goldman Sachs Bank Corporate Governance team as a Vice President and Assistant Corporate Secretary. She returned to ZAIS Group in 2019 as a Compliance Specialist and was named Chief Compliance Officer on March 31, 2022. Ms. Ryan received a BA from Seton Hall University.
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Kelly KoscuiszkaPartner, Schulte Roth & Zabel LLPKelly Koscuiszka serves as co-chair of the Investment Management Regulatory & Compliance Group, where she advises private funds on regulatory and compliance matters, particularly the Investment Advisers Act of 1940. Kelly supports clients undergoing SEC examinations, including by handling deficiency letters and enforcement referrals and also uses that experience to assist clients with exam preparedness. Kelly specializes in the intersection of regulation and emerging technologies, including artificial intelligence, alternative data, web scraping and electronic communications. She also advises clients on data privacy and cybersecurity. Kelly regularly conducts client training sessions and is a sought-after presenter at leading industry conferences. Kelly is admitted to the Bar in New York and has Court Admissions in the US Supreme Court; the US District Court of New Jersey; and the US District Courts in Eastern and Southern Districts of New York.