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Text Archiving for Private Banking

TeleMessage allows Private Bankers to communicate with customers from their mobile:

✔ Better implementation of custom-designed solutions

✔ Ensure compliance, encryption and discretion

✔ Easily add personal touch and extra perks

✔ Focus on high-net-worth individuals (HNWIs)

TeleMessage equips private banking firms and relationship managers with efficient and compliant text archiving solutions for meeting the ever-changing SEC, FINRA, FDIC, and CFTC mobile archiving standards.

Providing high-net-worth clients with a seamless communication channel that will help them stay engaged and informed with their assets is one of the core focuses of private banking firms. Text messaging is the best platform to meet this need, but it also presents significant compliance risks to private banking companies who would not be able to capture and record text messages of their employees and clients in real-time.

TeleMessage understands this problem and provides bankers and relationship managers with the unique mobile archiving solution engineered to capture and retain mobile SMS – regardless of the device platform, network, and ownership.

Majority of clients prefer to communicate over text, so it is only crucial to allow them to engage your employees through this channel. Otherwise, issuing a no-texting policy would not only deter your clients from continuing their business with your company, but would also reduce the operational efficiency of your employees, and ultimately – expose your organization to hefty fines and penalties due to non-compliance.

Achieve Regulatory Compliance With TeleMessage:

Advisers are required under Advisers Act rule 204-2 to keep certain books and records – including electronic communications such as text messages and chat logs, especially in light of the 2019 SEC OCIE Risk Alert

“… 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.

TeleMessage’s Text Archiving for Private Banking can help:

  • ✔ Capture all work-related text messages – regardless of device ownership, carrier, or device platform.
  • ✔ Retain all unstructured mobile content accessible in one uniform archiving database, allowing for faster response during a regulatory request, and more efficient internal audits.
  • ✔ Produce necessary records of captured communications for eDiscovery more efficiently.
  • ✔ Provide an audit trail to regulators to prove compliance with the relevant record retention requirements.
  • ✔ Lower cost of database maintenance by allowing firms to store their archived text messages in their preferred email archiving vendor.
  • ✔ Monitor employee communication effectively to identify non-compliance with industry standards and company policies, such as inappropriate client conduct, illegal trade activities, and workplace harassment and bullying.
  • ✔ Improve employees’ productivity and morale by allowing them to send mobile SMS with their colleagues and clients, which is much quicker than sending emails and but not as intrusive as making phone calls.

TeleMessage captures and retains mobile SMS, as well as MMS, voice calls, emails, WhatsApp Chats, and other mobile content. Messages are securely and reliably retained within TeleMessage servers or forwarded to an archiving data storage vendor of your choice.

Our mobile archiving products securely capture content from mobile carriers and mobile devices for a variety of ownership models (BYOD, CYOD, and employer-issued). With our multiple archiving solutions, you can always find the right tools or blend for your requirements:

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

Learn more about our Canadian Finance Sector solutions 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 and FINRA retention requirements
Investment Advisors — SEC regulations
Futures & Transfer Agents —NFA & 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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