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Mobile archiving for financial companies

Comply with regulatory agencies requirements for electronic communication.
We capture and archive mobile text messages and other forms of mobile communication.


SEC Rule 17a-3 & 17-a4

(Securities and Exchange Commission)

“..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.”

“…must preserve…originals of all communications received and copies of ll communications sent…”

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

SEC OCIE Implementation Recommendations and Guidelines for Mobile Archiving
(Office of Compliance Inspections and Examinations), December 2018:

“…. the way mobile and personally owned devices are used pose challenges for advisers in meeting their obligations … These include the increasing use of social media, texting, and other types of electronic messaging apps, and the pervasive use of mobile and personally owned devices for business purposes. ….”

“…. 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 the full SEC OCIE Recommendations here


2012-30691 | CFTC

“…FCMs, DCMS and others must record all oral communications provided or received…by mobile device…or keep those records for one year…and keep all written communication provided or received…communicated by instant messaging, chat rooms or mobile device.”

Read the full Regulatory Notice

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


(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.
“an investment firm shall arrange for records to be kept of all services, activities and transactions…”

Read the full Q5 in ESMA update

TeleMessage is listed in the FINRA & MiFID II Compliance Vendor Directories.

NFA (National Futures Association)

“… An FCM, IB, CPO or CTA Member’s duty to supervise the use of commodity interest-related electronic communications, including e-mails, instant messages, text messages and messages sent through social media, by its employees and agents…”

Read the January 2020 updated requirements here

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 and here

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.

The National Association of Insurance Commissioners (NAIC)

Advisory Guidelines on mobile communication:

NAIC: “Consideration should be given to periodically backing-up these files throughout the receivership to insure preservation of communications.”

Download the full information system guidance here.

View our Solution for Financial Sector Archiving

Learn more about our archiving solution here

Download the TeleMessage Financial Sector Regulatory Archiving Data Sheet

Learn more about our our UK & EU Finance Sector coverage here.

Learn more about our Canadian Finance Sector coverage here.

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For more information on compilance & security

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 and FINRA retention requirements
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

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