Stay Compliant: Top 3 Best Practices for Mobile Communications

Mobile devices and apps have become core communication and collaboration channels in the modern workplace. In today’s digital age, financial services firms are increasingly looking to mobile communication tools — such as text messaging, WhatsApp, Slack, WeChat and Telegram — for internal communication and to engage with clients.

But such communications create a new source of regulatory risk if recordkeeping and supervisory obligations are not met. Here are three essential best practices to help your firm stay compliant while leveraging mobile communication tools effectively.

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