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The Financial Advisor's Guide to Compliant IM and Collaboration
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"The Financial Advisor's Guide to Compliant IM and Collaboration"
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Instant messenger makes it easier to communicate, but also runs the risk of violating regulations if you’re not careful. Learn how to connect, yet still remain compliant.

Like most companies, employees at financial firms demand a modern environment with technology that makes it easy to communicate and be productive. To that end, many firms are increasingly allowing the use of collaboration platforms, instant messaging, file sharing applications and group chat suites. However, this new communication environment comes with a host of compliance challenges. Addressing and overcoming these issues is critical to your employees’ satisfaction and your firm’s success.

Download this white paper now to understand the applicable regulations for these types of communication platforms and how you can comply. You will discover how to:

  • Ensure IT implements the proper technology
  • Develop Written Supervisory Policies and train employees
  • Keep communications efficient but supervised

Workplace communication continues to change - make sure your firm is being proactive with recordkeeping and remains compliant with increasing regulations!


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