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Corporate Counsel and Regulatory Advisor,
Phone: 646.679.2253 x8446
Marianna Shafir is Corporate Counsel and Regulatory Advisor at Smarsh, a provider of cloud-based information archiving solutions for compliance, e-discovery and risk management. She's responsible for legal and regulatory affairs worldwide. In addition, she helps Smarsh clients navigate compliance obligations, technology trends, and industry regulations through her vast knowledge of best practices related to electronic communications supervision.
Prior to joining Smarsh, Marianna worked for BNY Mellon and Invesco in varying legal and compliance roles. Marianna was an adjunct professor and lecturer of Law at New York Career Institute, where she taught Law Office Management and Real Estate Law. She earned her J.D. at Nova Southeastern University, and a B.B.A. degree in marketing from Baruch College.
Here's some good news for investors: Stronger SEC rules protecting their best interests went into effect on Sept. 10, 2019. Firms have until June 30, 2020, to come into compliance, but here's a look at what's changing.
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In a regulatory first, the SEC has fined a pair of robo-advisers over their social media sharing. In addition, FINRA has levied its largest ever fine against a broker for using a personal device to text clients.
Everyone texts, but have you ever gotten a text from your financial planner? Probably not. There are rules about that sort of thing, and FINRA is cracking down.