A Financial Adviser’s Guide to Archiving Text Messages

What happens when your financial services firm’s text messages violate regulatory obligations? Hefty fines at best; image-tarnishing headlines at worst.

Financial advisers face increasing scrutiny from regulators who are not afraid to impose tone-setting fines related to improper text message archiving and supervision. To avoid regulatory pitfalls, financial advisers must take proactive measures to ensure compliant use of text messaging.

"A Financial Adviser’s Guide to Archiving Text Messages" provides essential best practices to navigate this complex landscape, including:

• Aligning mobile communication policies with regulatory requirements
• Conducting regular training on mobile communication protocols
• Implementing strategies to manage key communication channels proactively
• Staying ahead of regulatory changes as they develop
• Assessing the capabilities of your technology in accordance with regulatory obligations

Get the Financial Adviser’s Guide to Archiving Text Messages to secure your communications, increase productivity, mitigate risk and sustain growth.