Mobile Compliance

Text Messaging Cannot Be Ignored

Nearly 9 out of 10 financial services firms issue a tablet or smartphone to employees, yet 59 percent of the firms have minimal to no confidence that they could provide messaging records within a reasonable time frame if examined or audited.

The lack of attention to SMS and text messaging compliance policies exposes firms to risk, especially considering the wide adoption of mobile devices by advisors.

Download Text Messaging Cannot Be Ignored to understand:

  • Adoption rates of mobile messaging in the financial services industry
  • Trends around text messaging archiving policies
  • The role of text messaging in risk-based surveillance

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