REGULATORS ARE FORCING ADOPTION AS MESSAGING PROLIFERATES.

Highly regulated organizations are required by SEC, FINRA, FCA/NCA, FRCP, HIPAA, State Laws, the Federal Reserve, and the Comptroller of the Currency to archive all written business-related communications for compliance audits including instant messaging, Protected Health Information (PHI), Bloomberg, Thomson Reuters, text messaging, WhatsApp, Twitter, Facebook, LinkedIn, Instagram, Slack & all other nonverbal communications platforms for all employees. The requirements apply both to company-issued devices and to employee-owned devices that are used for business purposes.

Current solutions rely on secondary devices, custom apps, and adoption issues resulting in BYOD problems, millions of dollars spent annually, and are subject to full data loss. Are you protected

image shows a legal gavel used in court

THE REAL CONVERSATIONS HAPPEN ON
TEXT & SOCIAL MEDIA.

Do you have access when you need it?

We are all aware that emails and phone calls have been backed-up for years, but with the recent shift to mobile and social communications channels, compliance officers need the ability to reconstruct all conversations or activity regarding a specific matter in chronological order to identify any early warning signals of unwanted behavior.

REGULATORS ARE NOW ACTIVELY
ENFORCING REGULATIONS

FCA Requirements

require Broker-Dealers to implement a compliance archiving and monitoring solution to retain and supervise electronic communications. These requirements extend to all written business-related communications, including email, instant messaging, Bloomberg®, Refinitiv, mobile messaging, and social media.

SEC Rules 17a-3 & 17a-4, combined with FINRA Rules 3110 & 4511

require Broker-Dealers to implement a compliance archiving and monitoring solution to retain and supervise electronic communications. These requirements extend to all written business-related communications, including email, instant messaging, Bloomberg®, Refinitiv, mobile messaging, and social media.

GDPR Compliance

require Broker-Dealers to implement a compliance archiving and monitoring solution to retain and supervise electronic communications. These requirements extend to all written business-related communications, including email, instant messaging, Bloomberg®, Refinitiv, mobile messaging, and social media.

Find out how txtsmarter can help you stay compliant.