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TurtleBay Advisory Services

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What's New At TurtleBay Advisory Services

Leadership in Digital Transformation
Venue: The Yale Club, NYC
OCT 22, 2019

Poor top-down communication and a lack of transformation leadership are significant problems that inhibit progress toward successful transformation. While internally companies have incredible talent, they are often not exposed to new methods, platforms, and methodology. The current pace of change demands that today's leaders be both well-informed and proactive.


During this exclusive event, our attendees will have the opportunity to share ideas and gain insights with industry colleagues and experts. We'll focus on the major challenges that the financial services industry faces in this era of ever-changing technology and regulation. Attendees will get a fresh perspective on emerging threats, trends, and best practices for driving overall change in an organization to positively impact day to day operations and overall outcomes.


 This Year's Agenda Includes

  • Communication is Critical: Creating Cross Department Authority for Digital Initiatives
  •  Protecting Data During Digital Transformation
  • Key Business Outcomes from Cloud Transformation Programs
  • Digital Transformation's Impact on Security
  • Creating a Road-map for improving Customer Relationships, Internal Operations and Business Models
  • Compliance Takes Center Stage
  • Breakout session: Discover the full potential of AI / RPA / ML and analytics in the corporate finance function


Who should attend:

  • C-Suite Officers: Chief Executive Officers, Chief Technology and Compliance Officers, Chief Outsourcing Officers, Chief Information Officers, Chief Operations Officers, Chief Strategy Officers, Chief Marketing Officers, Chief Legal Counsel
  • Members of the Board of Directors
  • Heads of Technology, Legal, Performance Measurement, and Compliance Departments
  • Vice President and Directors of Operational Risk, Enterprise Risk, Governance, Outsourcing, Performance Measurement, and Vendor Management
  • Risk and Compliance Managers
  • Project Managers of Governance, Risk, and Compliance
  • Executives involved in Governance, Risk, and Compliance initiatives
AUG 15, 2019
Multiline for Business

We are certain that you recognize the incredible value mobility can provide in both the workplace and everyday life. However along with that comes complexity, cost, and compliance issues that, as you may know, TBAS has been recently addressing for our clients. This can be solved with a simple carrier agnostic software solution. 

 

TurtleBay Advisory Services would like to personally invite you to attend our informative webinar on August 15th at 2:00 pm to hear more with absolutely no obligation.  You will learn more about this software solution that will enhance your mobility strategy by:

  • Revolutionizing how you manage mobility
  • Supporting business continuity and preserve client revenue streams
  • Ensuring compliance with corporate policies
  • Guaranteeing employee satisfaction and privacy
  • Delivering superior customer experience
  • Minimizing costs


Link to Join: https://turtlebayadvisoryservices.my.webex.com/turtlebayadvisoryservices.my/j.php?MTID=mc3fbb58e1652e04f30be379a7e66431e

Cost: Free


AUG 23, 2019
Document Analytics for the Legal Industry

To date, we have successfully converted and enriched more than three billion pages in the context of thousands of engagements into a wide variety of electronic formats. In particular, we preserve, reorganize, enhance, query and report on unstructured, semi-structured and structured materials in a wide range of formats to meet the exacting requirements of downstream case management systems, databases, electronic publishing systems and data distribution networks.


With a vast library of specially developed conversion tools, we can adapt our software processes to handle any data set no matter how complex. The degree of automation in our approach yields an uncompromisingly consistent end product.


Join us and we will demonstrate:


Enhanced Query & Reporting Functionality


Preserve, reorganize, enhance, query and report on unstructured, semi-structured and structured materials in a wide range of formats to meet the exacting requirements of downstream case management systems, databases, electronic publishing systems and data distribution networks


Improved strategy


Provide further insight into your data by performing complex normalizations and calculations for inclusion into priority data reports to inform and direct your successful overall strategy


Automation & Scalability


Fully automated, scalable solution to transform high-volume scanned image files into high-quality searchable XML, capable of being stored and accessed via a database application


Highlight Data Inconsistencies


Improve the quality, depth, and speed of the re-underwriting review by highlighting data inconsistencies within the corpus of re-underwriting data and hyperlinking the loan file data to the original data source located in underwriting guidelines, loan files, and supporting documents


Tracking


Ability to monitor the evolution of document over time at an extremely granular level


Redaction Detection


Automated redaction detection accuracy is 99.934% and the redaction detection and reporting software will shortly be deployed into the world?s leading eDiscovery ecosystem - Relativity.


Data Analysis


Structured Data Hub preserves data provenance and provides on-the-fly data harmonization, filtering and sorting functionality


Functional Accuracy


Incorporates both functionalities for annotation and NLP and rules-based software for text extraction and to ensure that references and paths are accurately cited so you are able to reliably identify relevant rules, jurisdictional conflicts and a history of changes

AUG 22, 2019
Multiline for Business

We are certain that you recognize the incredible value mobility can provide in both the workplace and everyday life. However along with that comes complexity, cost, and compliance issues that, as you may know, TBAS has been recently addressing for our clients. This can be solved with a simple carrier agnostic software solution. 

 

TurtleBay Advisory Services would like to personally invite you to attend our informative webinar on August 22nd at 2:00 pm to hear more with absolutely no obligation.  You will learn more about this software solution that will enhance your mobility strategy by:

  • Revolutionizing how you manage mobility
  • Supporting business continuity and preserve client revenue streams
  • Ensuring compliance with corporate policies
  • Guaranteeing employee satisfaction and privacy
  • Delivering superior customer experience
  • Minimizing costs


Link to Join: https://turtlebayadvisoryservices.my.webex.com/turtlebayadvisoryservices.my/j.php?MTID=m01cff66dcec5fdbd17579c566813d8f8


Cost: Free


Insight : Why Threat Intelligence Matters for CISOs?

JUL 30, 2019

In times when threat intelligence (TI) has assumed a critical role in cybersecurity, it is essential that CISOs make the most out of this to manage security risks in their organizations effectively. When it comes to TI, the general understanding is that it can only be useful for security analysts. However, this is not true. TI can equally help CISOs in bringing out better measures for security incidents, as well as help them create a strong security posture for the company.

 

With so many new technologies and tools influencing the cybersecurity ecosystem, CISOs may find it overwhelming to focus on information that specifically helps them with taking key security decisions or appraising the board and other senior management of the security scenario. This is where TI can assist them to understand the overall security picture without much fuss. It presents a comprehensive view of elements such as recent threats, events or industry trends.

 

CISOs need to focus on the following aspects in order to benefit the most from TI.

 

Establishing Context

While TI (both external & internal) can furnish vast amount of information, CISOs should use it to correlate this with the security overview of their organizations. All this information can enable them to realize the external threat landscape and internal security posturing which will greatly assist in making risk-based decisions more accurately.

 

Moreover, internal TI cannot act as a sole measure for long-term improvement in various areas. By fusing it with external TI, advanced solutions can be devised to effectively remediate critical vulnerabilities, analyze attack vectors as well as determine which security events are actually a danger to the organization.

 

Benefiting from Automated Actions

CISOs can channelize resources towards automated actioning in security tools such as Firewalls, IDS/IPS, Antivirus, etc thus reducing the overall response time and more importantly switching gears from reactionary to proactive threat hunting based on predictive intelligence. The response actioning can be automated by leveraging Threat Intelligence Platforms for ingesting, enriching and updating the confidence score of the Intel. Consequently, Intel sharing with external trusted sources induces cyber resilience against threats by bringing in the element of collaboration. Ultimately, having a security solution that analyzes different stages of a threat and which makes its own decision can be very helpful in the long run.

 

TI platforms can also be helpful in other ways. If the dashboards featured in the platform provide a role-based vantage point, it helps in ensuring that the concerned personnel at different hierarchical echelons know the actual security position. This is more so important for the position of a CISO from where every security initiative trickles down through the organization. If CISOs invest in these platforms, they can also look at improving ROI by developing essential metrics and key performance indicators (KPI). To give an example, a KPI could be the reliability of threat intel sources. Determining which sources give accurate information on time, can go a long way in contributing to the success of the company?s security program.

 

Value Addition

The most important aspect of TI is its ability to bring in value for security processes followed in the organization. For example, along with expediting threat detection and response, TI can capture more details post the incident. This can make the organization more resilient to attacks.

 

The Strategic aspect of threat intelligence which generally covers factors such as risks and their possible outcomes is also beneficial in value addition. It can help CISOs to specifically oversee strategic concerns related to the security structure of the company.

 

CISOs can also leverage TI to increase situational awareness not just at the company?s SOC but also at the leadership level. For example, while security analysts and incident response teams make informed decisions from TI to counter potential threats or attacks, CISOs can use the high-level picture to inform the board about the business risks posed by cyber threats. In sectors like Finance and Banking, security is not an incentive but one of the critical product feature that a business can offer its customers.

 

Apart from this, TI also assists CISOs with cybersecurity decisions. How so? With every company having its own particular risk profile, CISOs can utilize TI to focus on the riskiest threats that bug the company. Based on this, they can augment their security posturing and make critical investments for optimal security solutions.

 

With all these advantages, CISOs can make better and quicker decisions. They can effectively manage risks that trouble the cybersecurity infrastructure, with a sharpened perspective.

 

 

Cyware Labs, May 2019

https://cyware.com/blog/why-threat-intelligence-matters-for-cisos-78e7

Insight : Evizone announces the launch of its new Secure Messaging platform for regulated industries

JUL 12, 2019

MONTREAL, QUEBEC- Evizone Ltd., the software and services provider offering enterprise solutions in secure communications, communications governance and regulatory compliance, is proud to announce the launch of its new Evizone Secure Messaging (ESM) platform.

ESM is a secure messaging and chat service designed to address the needs of companies in regulated industries such as Financial Services and Life Sciences. ESC balances security and privacy needs with the need for communications governance and transparency.

Users will also appreciate ESM?s upcoming federated service that will be deployed globally in order to comply with local data laws and regulations such as GDPR.

 

?Over the medium term, ESM will become a broader platform; integrating with content management services to address additional business requirements. These content management services will ultimately be implemented in a service known as Evizone Content Services (ECS),? said Bill Wells, Chairman of Evizone. ?But for now, ESM is the first step in a process of developing a single platform to address such business needs. We are proud of ESM?s development to date and are excited to partner with companies to fine tune its last details.?

 

About Evizone Ltd.

Evizone Ltd. is a revolutionary secure communications, encryption and compliance software and service provider based in Montreal, Quebec, Canada. Evizone offers innovative enterprise solutions in secure messaging (next generation beyond encrypted email) and encryption, encryption at rest, regulatory compliance, compliance archiving, WORM compliance, 17a-4 compliance, document life cycle management and communications governance and risk management. Evizone?s services protect organizations through best in class security, encryption, recipient controls, document life cycle management, discovery management, compliance management, compliance archiving, tamper proof WORM and 17a-4 compliance archiving and complete audit records against the enormous damage caused by communications breaches. Evizone?s patented technologies offer a level of security impossible to obtain with conventional or encrypted email and fast, powerful, user friendly compliance archiving. Evizone?s services are immediately available on multiple platforms and provide the strongest commercially available communications security and compliance archiving.

https://evizone.com/news/

Insight : Analyzing The Challenges to Enterprise Mobility

JUL 12, 2019

Enterprise mobility is responsible for increasing flexibility in the workplace. But, organizations face multiple challenges during the implementation of enterprise mobility. Is there a way to solve this crisis?

Enterprise mobility has given unprecedented freedom to employees by allowing them to work from any location at any time. Due to such freedom, employees are able to overcome multiple work limitations that can keep them away from the workplace, which was not possible a decade ago. Employees can work during long travel times, sickness, special occasions like weddings, and festivals. Such work flexibility has led to the emergence of a BYOD (Bring Your Own Device) work culture. Several organizations have adopted the BYOD culture into their workplace after looking at its immense potential. 

Although organizations are benefiting from enterprise mobility, multiple challenges exist in its adoption. Challenges such as ineffective security, poor user experience, and rising hardware costs are raising concerns among employees and business leaders. Hence, organizations need to analyze these issues for developing effective solutions.

Organizations face several issues with enterprise mobility such as:

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Security

Security is one of the primary concerns of every organization. Delivering user-friendly enterprise mobility applications along with high-end security systems is a necessity. Due to ineffective security protocols, organizations may face multiple security threats such as data breaches, malware intrusion, and ransomware attacks. Sources suggest that 41% of all data breaches are caused by stolen or lost devices. Hence, deploying secure data storage and exchange mechanisms is of utmost importance. 

Compliance of security regulations is another major task for every organization. With enterprise mobility, complying with security regulations can get even more complicated. Failing to comply with such regulations will result in hefty fines and expose the organization to several security threats. Hence, business leaders need to be constantly updated with GDPR regulations and develop security protocols that ensure compliance with security regulations.

Enterprise System Integration

Every organization requires multiple systems running in sync with each other to automate workflows. For this purpose, several enterprise systems need to be interconnected to share crucial data. Likewise, mobile devices such as smartphones and laptops should seamlessly integrate with complex business systems. Failures in integrating mobile devices with complex enterprise systems can lead to the generation of information silos. Information silos are created when crucial information is available only on a single device and not shared with the organization?s network. For instance, an employee who occasionally works from home and fails to share important files after moving to another organization will generate an information silo. Therefore, organizations need advanced applications that interact with multiple complex business systems to streamline data processing and workflows across several parts of the network.

App Development

The development of fully functional apps can be a complicated task. Developers have to implement a long process of coding, compiling, testing, reviewing feedback, and squashing out bugs for developing high-end business apps. Also, developers have to create different apps for multiple operating systems like Android and iOS. Business leaders need to be informed about all these technicalities and necessary costs before delegating app development tasks. Developers and business leaders also need to consider the increasing number of mobile apps on every device. An average smartphone user has more than eighty apps on their phone. Such apps have permissions to access users? camera, location, network information, contacts, and messages. A combination of such app permissions can be utilized by cybercriminals to gain unauthorized access to an organization?s network. Therefore, business leaders must be mindful of these security loopholes.

User Experience

Enterprise mobility systems need to offer end-to-end user experience to drive user adoption. The core task of any enterprise mobility system is allowing employees to perform their work and access their work files from anywhere. To deliver a high-end user experience, business leaders have to decide whether they will repurpose existing apps or create new apps that can integrate with business systems. Also, existing business systems should be updated to be compatible with enterprise mobility apps.

Overcoming the Challenges

Organizations need to develop a well-thought strategy by collaborating with several professionals like cybersecurity experts and IT professionals to overcome challenges associated with enterprise mobility. In the strategy, organizations must consider the following measures:

Employ Advanced Security Protocols

Business leaders have to hire skilled cybersecurity professionals that can collaborate with developers to ensure effective security standards. For starters, organizations must encrypt all their data using a cryptographic hash. Every file's digital signature will be verified by the system to ensure the integrity of the data. In case an intruder gains unauthorized access to a file, then the digital signature of that file will be altered and the system will notify concerned parties about the malicious activity. 

Organizations must incorporate an authentication mechanism for restricting access to sensitive data. For this purpose, organizations can implement multi-factor authentication of all users on the network. Also, organizations can deploy blockchain-based cybersecurity solutions such as digital identification systems to streamline the authentication process. For instance, if an employee wants to access confidential data, the digital identification system will verify employee credentials and grant access only if the employee has access privileges for such data. Furthermore, organizations can also adopt an AI-powered authentication mechanism that alters access privileges based on employee's location and network.

Implement Cloud-Based System Integration

Any organization that has adopted enterprise mobility requires a cloud mediation layer for implementing seamless data exchange across various business software and apps. A cloud mediation layer enables various apps to interact with a centralized cloud. This software layer allows developers to build apps for multiple platforms such as Android and iOS that can function online as well as offline. Such cloud-based system integration can also reduce network latency by caching and queuing crucial data. 

To restrict data access in enterprise system integration, business leaders have to segregate internal and external APIs for mobile apps. Generally, external APIs are accessible to users and internal APIs are accessible to different business apps and systems.

  • External APIs are also known as ?Experience? APIs as they are crucial for delivering convenient user experience. For instance, an employee can utilize a ?tasks? app that is integrated with the other enterprise apps to track the progress of ongoing tasks and projects. Such external APIs also enable the development of SaaS applications.
  • Internal or ?System? APIs generally access legacy systems and apps. Such APIs are sensitive and cannot be exposed to end-users.

Improve App Development

Business leaders have to decide between hiring an in-house team of developers or outsourcing app development tasks altogether based on their budget. After selecting the approach, developers can build native apps for various platforms. Native apps are more intuitive and feature-rich compared to web apps and hybrid apps. 

Another crucial aspect of app development is user interface design. Business leaders should promote the development of clean and consistent UI for enterprise mobility apps. Visually appealing layout, consistent icons, and effortless navigation are essential for creating a user-friendly app. Developers can also offer employee-centric customization to deliver a personalized user experience. Also, app developers can incorporate notifications for messages, reminders, and other important information. Furthermore, developers have to provide frequent over-the-air updates for eliminating bugs and fixing security loopholes. Altogether, an end-to-end enterprise mobility app will help deliver a great user experience. 

With the advent of zero-code platforms, business leaders can develop their own sophisticated business apps without any technical knowledge. Zero-code platforms hide technical aspects behind a simple UI with drop-down menus. Such platforms can democratize the development of enterprise mobility apps and deliver a personalized experience for employees.

Insight : TurtleBay Advisory Services and FSO Knowledge Xchange Launch New Website

AUG 16, 2019

Valley Cottage, New York, July 29, 2019 TurtleBay Advisory Services (TBAS), a Financial Service advisory firm specializing in Business and Technology Transformation, announced today the launch of its new website. 


TBAS has extensive years of practical and relevant experience in Mortgage Origination & Servicing, Cybersecurity, Distributed Ledgers, Blockchain, Unstructured Data Management, Artificial Intelligence, Machine Learning, Robotic Process Automation (RPA), and Test Automation. In 2012 TBAS acquired, FSO Knowledge Xchange (FSOkx), a global research and information hub that has been providing insights to the banking, insurance, and capital markets industry for almost 20 years. Advisory services from experienced industry experts were now with FSOkx's highly regarded financial service industry rapport and research to afford targeted analysis of market trends, industry gaps, and product roadmaps that ensure growth strategies meet objectives. The websites, however, remained distinct as fsokx.com and turtlebayadvisoryservices.com.


This newly redesigned (and combined) website offers quick and easy access to essential information and features that offers a more comprehensive understanding of the Company's products and services. The website has an Industry insights section with updated company news and events, financial regulation information, corporate governance information, and Cybersecurity news and alerts. The new website goes live today, July 16, 2019, and is located at: http://www.turtlebayadvisoryservices.com/.


"We are excited about our new website launch and the robust information it provides for clients, partners, and media to better understand the TBAS mission," said Joe Rossi, Principal, TurtleBay Advisory Services. "We believe that this new website will allow our visitors to have a very informative experience as we continue to grow and increase our market presence."


" Our combined value proposition is to recognize the value of high standards to promote education and to create a cost-efficient strategy for our customers " added Mr. Rossi.


TBAS' new website will be updated on a regular basis with news of product launches, business activity, corporate milestones, events, and financial information. Visitors are encouraged to explore the website and sign up for direct emails and event discounts at http://turtlebayadvisoryservices.com/contact.jsp.


About TurtleBay Advisory Services.

TurtleBay Advisory Services (TBAS), founded in 2011 by Joseph A. Rossi, is an advisory firm specializing in Business and Technology Transformation. Our team of Subject Matter Experts has extensive years of practical and relevant experience in operations, technology, accounting, and risk management. Our history is one of managing large-scale change for complex financial institutions and applying that expertise and know how to small and mid-sized institutions. FSO Knowledge Xchange was acquired by TBAS in 2012 since Industry executives rely on the FSOkx Knowledge Center to improve their business, develop strategies, and succeed in a dynamic and challenging economic and regulatory environment. Our combined value proposition is to recognize the value of high standards to create a cost-efficient strategy for our customers. That is how TBAS differentiates us from our competitors. For more information on the Company, its products and services, please visit http://www.turtlebayadvisoryservices.com.


Contact: 

Andrea Billitteri

TurtleBay Advisory Services, Director

Phone: + (1) 646-791-4511

Email:  [email protected]


Insight : How Sprint Multiline Can Help Financial Services Firms Achieve FINRA Compliance

JUL 30, 2019

The Financial Industry Regulatory Authority (FINRA) regulates member firms in the Financial Services Industry which can include Banks and Insurance Companies. The following are several regulations that apply along with how Sprint Multiline can assist companies in meeting FINRA Compliance.

 

SMS Text Recording Requirements

 

FINRA Regulations 11-32  States that tweets and text messages are written material which need to be preserved for reporting purposes:   


FINRA Rule 4530(d) requires that a member firm also report quarterly statistical and summary information regarding written customer complaints that have been received. Received text messages and tweets are in a written format. Thus, a member firm must report text messages and tweets received from firm customers expressing complaints about the firm or its associated persons consistent with the requirements of FINRA Rules 4530(a)(1)(B) and 4530(d). For example, if a firm customer sends a tweet to the firm alleging that an associated person sold him unsuitable securities, the firm must report it pursuant to FINRA Rule 4530(d).?

http://finra.complinet.com/en/display/display.html?rbid=2403&record_id=14024&element_id=10248&highlight=11-32#r14024

 

In addition, all member firms must maintain all correspondence in accordance with the record-keeping requirements of FINRA Rule 3110.09 which includes electronic communications such as email and text messages.

 

Sprint Multiline Solution: We provide the ability to capture and record SMS text messages on Corporate Owned or Personally Owned Devices. The messages can be securely transferred to the customer or a third-party firm for archival and discovery.

 

 Use of Personally Owned Mobile Devices

 

FINRA 11-39 Establishes the requirement to retain, retrieve, and supervise business communication, even when that communication is conducted from a personal device:


Q14: May associated persons use personal communication devices and other equipment, such as a smart phone or tablet computer, to access firm business applications and perform business activity if the firm employs technology that enables the firm to keep records and supervise the activity?

A14: Yes. Firms may permit their associated persons to use any personal communication device, whether it is owned by the associated person or the firm, for business communications. FINRA recognizes that the development of new technologies can facilitate the ability of associated persons to perform their responsibilities and, in the case of registered representatives, to serve their clients. Of course, the firm must be able to retain, retrieve and supervise business communications regardless of whether they are conducted from a device owned by the firm or by the associated person.

In order to ensure that the business communications are readily retrievable without necessitating the capture of personal communications made on the same device, firms should have the ability to separate business and personal communications, such as by requiring that the associated persons use a separately identifiable application on the device for their business communications. If possible, this application should provide a secure portal into the firm's own communication system, particularly if confidential customer information may be shared. If the firm has the ability to separate business and personal communications, and has adequate electronic communications policies and procedures regarding usage, then the firm is not required to supervise the personal emails made on these devices. Of course, firms also are free to treat all communications made through the personal communication device as business communications.

http://finra.complinet.com/en/display/display.html?rbid=2403&record_id=14072&element_id=10282&highlight=11-39#r14072


Sprint Multiline Solution: As per FINRA guidelines, Sprint Multiline is a separately identifiable application on a mobile device that separates business and personal use while also providing a secure management portal. Unlike many competing solutions that capture voice and text conversations at the network level, Sprint Multiline only captures voice and text conversations via the Application. As result of this design, business and personal communications are entirely separate and there is no way for Sprint to capture voice and text communications that take place on the personal side of the mobile device.


Requirement for Recording of Telephone Conversations

 

Note: This is not a requirement for all FINRA regulated member firms, only those that have been subject to disciplinary action and meet certain criteria.

 

 FINRA 3170 - Tape Recording of Registered Persons by Certain Firms:

(b) Supervisory Procedures Regarding the Tape Recording of Conversations

(1) Each member that either is notified by FINRA or otherwise has actual knowledge that it is a taping firm shall establish, maintain, and enforce special written procedures for supervising the telemarketing activities of all of its registered persons.

(2) A taping firm required to establish, maintain, and enforce special written procedures pursuant to this paragraph must establish and implement the procedures within 60 days of receiving notice from FINRA or obtaining actual knowledge that it is a taping firm.

(3) The procedures required by this paragraph shall include procedures for tape recording all telephone conversations between the taping firm's registered persons and both existing and potential customers and for reviewing the tape recordings to ensure compliance with applicable securities laws and regulations and applicable FINRA rules. The procedures must be appropriate for the taping firm's business, size, structure, and customers, and shall be maintained for a period of three years from the date that the taping firm establishes and implements the procedures.

(4) All tape recordings made pursuant to the requirements of this paragraph shall be retained for a period of not less than three years from the date the tape was created, the first two years in an easily accessible place. Each taping firm shall catalog the retained tapes by registered person and date.

(5) By the 30th day of the month following the end of each calendar quarter, each taping firm subject to the requirements of this paragraph shall submit to FINRA a report on the taping firm's supervision of the telemarketing activities of its registered persons.

http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=11348


Sprint Multiline Solution: We provide the ability to capture both SMS text messages and Voice Conversations on Corporate Owned or Personally Owned Devices. 


Additional Information


Summary of FINRA Disciplinary Action, Letter of Acceptance, Waiver and Consent for a $1.5 Million Fine against member firm SunTrust for Failure to Retain Electronic Records, including SMS Text Messages:

http://www.finra.org/sites/default/files/SunTrust_AWC_122116.pdf



FINRA jurisdiction over the investment professionals and firms that sell

variable life and variable universal life products:

http://www.finra.org/investors/insurance

 

Monthly FINRA Disciplinary Actions:

http://www.finra.org/industry/disciplinary-actions

 

Disciplined Firms Under FINRA Taping Rule:

(FINRA Rule 3170 ? failure to tape record conversations):

http://www.finra.org/industry/disciplined-firms-under-finra-taping-rule-finra-rule-3170 

 

FINRA Broker Check (search by Firm Name or Broker Name):

https://brokercheck.finra.org

 


Insight : FSO Knowledge Exchange and High Performance Counsel Partner to Deliver Industry- Wide Cybersecurity Knowledge

AUG 9, 2019


New York, NY ,March 27, 2019   FSO Knowledge Xchange (FSOkx)today announced that it has signed a partnership agreement with High Performance Counsel, a Legal industry media, events, and education leader, to close the critical cybersecurity workforce skills gap.


FSO Knowledge Exchange, a TurtleBay Advisory Company (TBAS), has been empowering senior-level financial industry executives with timely and accurate knowledge needed to maximize profitability for almost two decades. Their mission is to facilitate strategic decision-making by providing valuable information in the areas of operational excellence, risk management best practices, business process management, regulatory compliance, and technology innovation.


 FSOkx's current effort is Cybersecurity & Risk Management in response to the growing complexity of technical, operational, governance, legal and threat environments. Cybersecurity Advocacy is an integral part of TBAS' operational risk management offering, providing next-generation education through FSOkx that will enable their company's clients to dramatically reduce digital risk and exposure throughout their organizations.


This partnership with High Performance Counsel will provide access to a comprehensive suite of multi-level cyber education and professional development offerings. These courses are geared to empower the non-technical professionals to advanced, and provide hands-on Simu-Labs along with a full cyber range environment. FSOKX will offer CPE certification on these Cybersecurity courses which are developed by subject matter experts aimed to provide the highest level of content, with a proven accelerated learning method.


We understand how critical it is for our clients to be able to achieve the appropriate level of cybersecurity culture with limited access to tools and training, TBAS Founder and Principal Joseph Rossi said. That's why we are excited about this partnership with High Performance Counsel and look forward to bringing their customized training programs to our clients, based on their unique needs.


David Kinnear, Founder & CEO of High Performance Counsel added, "From inception High Performance Counsel's focus has been based on the needs of the next ten years in the rapidly-changing legal industry. Cybersecurity is one of the greatest risks and opportunities facing the sector and the clients it serves. Cybersecurity literacy is a must-have technical competency in today's legal world and a new competitive edge for many".


About FSO Knowledge Xchange

FSO Knowledge Xchange LLC, a media and research company, provides content for financial services domains. It conducts targeted surveys to capture buyer pain points and needs, as well as publishes research papers; organizes networking events, focused forums, summits, and conferences; and provides research and analytics services related to various business processes, vendors, and trends in the financial services industry. The company also provides education and training for financial services decision- makers within operations, technology, risk management, compliance, and outsourcing domains. FSO Knowledge Xchange LLC provides e-newsletters, custom events, integrated marketing, and consulting services through the parent company, TBAS.

Further information: https://www.fsokx.com


About TurtleBay Advisory Services

TBAS is a technology-enabled advisory firm specializing in business and technology transformation. We have Subject Matter Experts that have extensive years of practical and relevant experience in Cybersecurity, Mortgage Origination & Servicing, Unstructured Data Management, Artificial Intelligence, Machine Learning, Robotic Process Automation (RPA), and Test Automation. The strength & depth of the TBAS partner network enables to provide financial services organizations with a full range of services which include Business Transformation and IT Transformation, Cybersecurity, Process Design and Improvement, and Education & Training.

Further information: https://www.turtlebayadvisoryservices.com


About High Performance Counsel

HIGH PERFORMANCE COUNSEL (aka #hipcounsel) delivers world-class media coverage, actionable intelligence and essential professional development assets - designed to equip and empower modern legal industry professionals.


Our media coverage highlights the individuals, organizations, strategies & solutions designing and driving the next decade of innovation in law. Our professional development assets include critical training & education for modern day legal industry professionals - and the clients they serve. Our growing community of modern legal industry professionals is second-to-none.

Further information: https://www.highperformancecounsel.com

Insight : TurtleBay Advisory Services and O3 Offer the End to End Solution for Digital Transformation

AUG 9, 2019

July 18, 2019 New York, NY TurtleBay Advisory services, a NYC based Advisory firm, announced today that they have strategically partnered with 03 Technology Solutions, a boutique IT consulting firm, to offer an end to end solution for digital transformation. The key value proposition to their clients is that they can exclusively offer this specialized service with the added advantage of working with financial service veterans who truly understand the business.


Most of us can agree that the future of financial services is bound to innovation. The responsibility of executives is to preserve financial stability while updating their tools and processes accordingly. This task, when done correctly, is an overall change in an organization to positively impact day to day operations and overall outcomes. TBAS' collective core competency allows organizations to embrace this change in an effective manner without disruption, allowing their customers to focus on growing their business.


Organizations that are content with the status quo will not be able to survive the impending disruption. Strategy is a big part of the digital equation? said Joseph Rossi, Principal TBAS. ?Our subject matter experts have experienced these problems first-hand so we are able to swiftly identify your business need, and with this new alliance can now implement a suitable technological solution

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O3 experts can assist clients in software automation buildouts, testing and implementation and assure maximum efficiency. They have decades of experience servicing leading financial institutions since their core offering is to support these companies to do more with technology, streamline business operations, reduce manual intervention, and increase their efficiency and reusability.


About TurtleBay Advisory Services.

TurtleBay Advisory Services (TBAS), founded in 2011 by Joseph A. Rossi, is an advisory firm specializing in Business and Technology Transformation. Our team of Subject Matter Experts has extensive years of practical and relevant experience in operations, technology, accounting, and risk management. Our history is one of managing large-scale change for complex financial institutions and applying that expertise and know how to small and mid-sized institutions. FSO Knowledge Xchange was acquired by TBAS in 2012 since Industry executives rely on the FSOkx Knowledge Center to improve their business, develop strategies, and succeed in a dynamic and challenging economic and regulatory environment. Our combined value proposition is to recognize the value of high standards to create a cost-efficient strategy for our customers. That is how TBAS differentiates us from our competitors. For more information on the Company, its products and services, please visit http://www.turtlebayadvisoryservices.com


About O3 Technology Solutions

O3 Technology Solutions began as a boutique consulting services firm in 2004, focused in the derivatives and risk management sectors. They specialized in solutions that spanned the front-office through back-office operations including downstream processes and accounting, key quality assurance, testing, and migration services and products. An active integration practice tied this foundation to other financial systems in our client's environments. Following on past successes, the firm expanded and broadened its project services and product offerings to include: Advisory Services; Consulting & Implementation; Customization & Integration; Data Management and Resourcing. Our client base includes blue chip financial services firms that are high visibility and demanding. Their mission is to exceed our clients' expectations by delivering innovative and cost-effective solutions that add business value, enabling high performance, quality and efficiency.


Contact: 

Andrea Billitteri

TurtleBay Advisory Services, Director

Phone: + (1) 646-791-4511

Email:  [email protected]