In the USA, Book and Records requirements of FINRA and the SEC now include the need to maintain long term WORM (write once read many) storage of all electronic communications with clients, including text messages. A firm policy of no texting does not suffice, because if an employee is caught, that can trigger a failure to supervise violation by the firm. In Europe, Advisors also have to maintain WORM records of voice calls with clients. CellTrust SL2™ compliant enterprise SMS texting and voice platform for personally-owned (BYOD), corporate-owned (COPE) or Carrier Capture mobile devices is here to help you meet these requirements and provide supervision.
Our compliance-focused platform equips firms and advisors with the tools to enhance client relationships, boost efficiency, and mitigate risk amidst increased regulatory scrutiny on unauthorized texting violations. Enhance client relationships by facilitating personalized interactions, syncing communication history, and ensuring timely and consistent messaging. Utilize customizable templates and scheduling to standardize messages, automate delivery, save time, and maintain consistent communication across various needs. MyRepChat effortlessly integrates with CRM and archiving systems, synchronizing client data and communication records for streamlined operations and improved client relationship management.
Redtail’s solution, Speak, offers a compliant way for you to text message your clients and collaborate with your staff in real-time. Using Speak, every conversation, message, and document is fully searchable and automatically archived, recorded daily, and sharable with email surveillance providers, offering you a safe, compliance-approved* way to communicate with your clients. Speak also empowers your team to communicate directly with each other by providing team members with access to the same communication threads, which helps to eliminate bottlenecks.
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