text messaging compliance Archives

How You Can Use the TeleMessage Disclaimer Feature

October 11, 2021December 24, 2020 by pinchas

Regulations mandated by FINRA, SEC, NFA and FCA oblige businesses to record and archive telephone conversations and messages. Financial firms have to monitor phone calls, record SMS messages, archive them ... Read more

SEC Fines Dealer-broker for Not Retaining Business-related Text Messages

October 11, 2021December 22, 2020 by pinchas

The SEC (Securities and Exchange Commission) issued its first-ever fine related solely to text messaging. The SEC recently settled charges against JonesTrading Institutional Services LLC, a California based registered broker-dealer ... Read more

Recent Fines for Recordkeeping Non-compliance

August 25, 2022December 20, 2020 by pinchas

Different regulators take disciplinary actions against firms and individuals for violations of various rules and regulations regarding recordkeeping and communication, including text messaging compliance. Various sanctions are imposed on wrongdoers ... Read more

Covid’s Effects on Mobile Communications in Asia’s Financial Services Industry: Nomura Research Institute

October 11, 2021October 30, 2020 by pinchas

Challenges of mobile communications archival This blog illustrates the effects of Covid on mobile communication in Asia's financial services industry based on the takeaways from the Nomura Research Institute study ... Read more

SEC Latest Risk Alert – COVID-19 Compliance Issues to Consider

October 11, 2021September 18, 2020 by pinchas

The Securities and Exchange Commission’s OCIE or Office of Compliance Inspections and Examinations issued a Risk Alert that warns investment advisors and broker-dealers of the challenges brought by COVID-19 related … Read more

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How You Can Use the TeleMessage Disclaimer Feature

SEC Fines Dealer-broker for Not Retaining Business-related Text Messages

Recent Fines for Recordkeeping Non-compliance

Covid’s Effects on Mobile Communications in Asia’s Financial Services Industry: Nomura Research Institute

SEC Latest Risk Alert – COVID-19 Compliance Issues to Consider

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