Mobile archiving for financial companies

TeleMessage provides mobile text & calls financial archiving & secure messaging

enabling you to comply with regulatory agencies requirements for electronic communication

FINRA Reg. Notice 17-18

(Financial Industry Regulatory Authority) – April 2017

“… Every firm that intends to communicate, or permit its associated persons to communicate… through a text messaging app or chat service must first ensure that it can retain records of those communications,” with non-compliance subject to fines.

Read the full Regulatory Notice Q&A

ESMA MiFID II

(Markets in Financial Instruments Directive) – Jan 2018

“… requires the recording of the telephone conversations and any electronic communication… including amongst others video conferencing, fax, email, Bloomberg mail, SMS, business to business devices, chat, instant messaging and mobile device applications.

Read the full Q5 in ESMA update

Dodd-Frank Act

Wall Street Reform and Consumer Protection Act — 2010

“… requires the recording of all electronic communication … within 24 hours of an audit…

Read explanation of the full requirements here

SEC Rule 17a-3 & 17-a4

(Securities and Exchange Commission) – May 2003

“..require Broker-Dealers to implement a compliance archiving and monitoring solution to retain… all written business-related communications.
Electronic records… must be retained and indexed on indelible media with immediate accessibility.”

Read the full Sec Rule 17a-3 and Sec Rule 17a-4

Investment Advisers Act of 1940 Rule 204-2

SEC and Dodd-Frank

Investment advisers, hedge funds and private equity firms are required to retain books and records relating to all written communications received and sent.

Read relevant documentation on the Investment Advisers Act of 1940.

TeleMessage is an approved vendor for FINRA text archiving and MiFID II mobile recording:

Watch this video for an overview of our Financial sector mobile archiving solutions:

Learn more about our archiving solution here and our coverage here.

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The TeleMessage Financial Services DataSheet

We’ll show you how to archive BYOD and Corporate phones!

Our platform allows for compliant enterprise-wide archiving solutions for financial services:

Financial Services — Supporting Broker and Dealer SEC compliance
Investment Advisors — CFTC and SEC regulations
Futures & Transfer Agents —NFA, CFTC, & SEC recordkeeping and oversight obligations
Lending Compliance — For with the FFIEC, Fair Lending Laws, Truth in Lending Act or the FTC’s rules on Unfair, Deceptive or Abusive Acts
Investment Dealers (Canada) — Complies with IIROC Rules and Notices and National Instrument regulations
Investment Advisers (UK) — MiFID II compliant

and more