One of the most prominent voices in the Reddit Rally, Keith Gill aka Roaring Kitty, was a licensed securities broker registered with FINRA. Mr. Gill’s Roaring Kitty former employer, MassMutual, has told securities regulators in Massachusetts that it was unaware that Mr. Gill had spent more than a year posting about GameStop on YouTube, Reddit, and other online forums.
As a Compliance Officer, how do you balance your firm’s regulatory obligations with employee personal privacy boundaries? How do you manage the constantly evolving landscape of social media and communication platforms?
- What regulatory guidance do we currently have?
- Should I monitor communications on social media and how?
- What kind of policies are needed?
Robert Cruz is Vice President, Information Governance for Smarsh. He has more than 20 years of experience in providing thought leadership on emerging topics including cloud computing, information governance, and discovery cost and risk reduction.
Amy joined ComplySci as Chief Operating Officer in 2018 and was named President in December 2019 and Chief Executive Officer in October of 2020. She is responsible for the overall strategic direction of the company and execution of it’s mission.
A serial entrepreneur, Amy was the co-founder of Instabot, an enterprise chatbot platform that allows marketers to engage and convert their users through conversational bots. Amy was also the President of ROKO Labs, a product strategy and technology consultancy that works with global companies and VC-backed startups to accelerate their businesses and deliver award-winning experiences. She remains on ROKO Labs’ board.
Amy also has substantial FinTech experience. Previously Amy was a Managing Director at S&P Global, a Fortune 500 company. Prior to that, Amy was Chief Product Officer at the TheMarkets.com, a consortium of the largest financial services firms including Goldman Sachs, Morgan Stanley and Citi, which was acquired by S&P Capital IQ for $300M.