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22-question online survey Fielded January-April 2012

Smarsh surveyed financial services compliance professionals to understand the state of electronic communications compliance. 22-question online survey Fielded January-April 2012 209 respondents with compliance-related responsibilities

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22-question online survey Fielded January-April 2012

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  1. Smarsh surveyed financial services compliance professionals to understand the state of electronic communications compliance. • 22-question online survey • Fielded January-April 2012 • 209 respondents with compliance-related responsibilities • Addressed trends in electronic message compliance policies and practices: • Understanding of regulatory obligations • Policies and use of different communications types • Policies and use of different communications devices • Supervision and archiving practices • Examination frequency and expectations • Confidence in compliance policies and enforcement Firm type

  2. Concerns come from multiple fronts. Top Concerns Related to Electronic Message Compliance

  3. 21% trust friends, colleagues or relatives • 21% rely on TV and radio talk shows • 20% depend most on news-related websites • 11% rely most on newspapers • 33% consider social media a valuable source of financial information (27% Gen X, 21% BB, 14% Silent) • Source: TD Ameritrade Study

  4. The Compliance Burden Compliance professionals are looking for peace of mind when selecting an archiving and supervision technology system. Very or critically important Important attributes of an archiving and supervision technology system when designing a comprehensive electronic message compliance program

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