Financial Advisor's Guide to Compliant IM and Collaboration

Financial Advisor's Guide to Compliant IM and Collaboration

Smarsh handles information you submit to Smarsh in accordance with its Privacy Policy. By clicking "get the guide", you consent to Smarsh processing your information and storing it in accordance with the Privacy Policy and agree to receive communications from Smarsh and its third-party partners regarding products and services that may be of interest to you. You may withdraw your consent at any time by emailing privacy@smarsh.com.

Download this guide to learn the key steps to enabling modern instant messaging and collaboration platforms while maintaining compliance.

The financial industry is moving on from instant messaging. As older IM platforms fade (AOL Instant Messenger) or converge with more modern platforms (Skype for Business), financial firms are migrating en masse to new collaboration platforms.

As Microsoft Teams and other platforms like Slack and Symphony continue to be deployed by IT – or in some dangerous cases, adopted without oversight by advisors themselves ­– it’s imperative that firms take proactive steps to expand their supervisory programs in order to mitigate risk.

Download the Financial Advisor's Guide to Compliant IM and Collaboration to learn the key steps to getting ahead – and staying ahead – of today’s evolving instant message and collaboration technologies.