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Text Archiving for Wealth Managers and Investment Advisors

TeleMessage allows Wealth Managers and Investment Advisors to communicate with customers from their mobile:

✔ Increase customer satisfaction

✔ Close deals faster

✔ Be innovative

✔ Stay compliant with regulations

In today’s dynamic and disrupted wealth management and advice environment, TeleMessage is attuned to the performance and compliance requirements faced by professionals. We empower wealth management firms and investment advisors with the most innovative text archiving solutions needed to comply with the evolving FINRA,  SEC and CFTC mobile archiving regulations and effectively manage professional engagements.

Hitting the right balance between efficient workplace and client communication and effective compliance with text message archiving regulations has required continued attention in the wealth management industry. TeleMessage understands this problem and provides registered advisors with the unique mobile archiving solution engineered to capture and retain mobile SMS with varied customized solutions.

With 97% of Americans and 70% of organizations using text messaging for personal and business purposes, it is indeed imperative for broker-dealers to use this platform as the means to engage with their customers and stay competitive. Otherwise, preventing investment advisors from texting would not only limit their productivity, but would also reduce the operational efficiency of the organization, and ultimately – expose them to compliance risks at large scale.

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 Wealth Management Firms
and Investment Advisors 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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