modeled on the SEC, which requires archiving of
“…. written business communications conveyed electronically using, for example, text/SMS messaging, instant messaging, personal email, and personal or private messaging. … communications when conducted on the adviser’s systems or third-party applications (“apps”) or platforms or sent using the adviser’s computers, mobile devices issued by advisory firms, or personally owned computers or mobile devices used by the adviser’s personnel for the adviser’s business.”
Read of the increasing number of bank fines for mobile archiving non-compliance
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