The cost of non-compliant texting has started to affect individuals as well as the financial firms they represent. Last month, Financial Industry Regulatory Authority (FINRA) issued a $40,000 fine to a financial advisor who conducted business activity on his personal phone, and suspended him for 18 months.
While the communications channels used were supposedly banned at the individual’s place of work, those restrictions were ignored and bypassed, as is so often the case.
If there’s any chance your team uses channels like WhatsApp to talk with clients, it’s time to take action and ensure those conversations are captured; your firm’s reputation could depend on it.
If you want to get the right advice, quickly, with clear and totally transparent, unshackling yourself from the confines of an antiquated compliance support service, then contact us.
Call us on +44 (0) 20 8087 2377 or email us.
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LS Consultancy are experts in Compliance, and work with a range of firms to assist with improving their documents, processes and systems to help mitigate risk.
Our range of innovative solutions can be tailored to suit your unique requirements, no matter whether you’re currently working from home, or are continuing to go into the office. Our services can be deployed individually or combined to form a broader solution to release your energies and focus on your clients.
Contact us today for a chat or send us an email to find out how we can support you in meeting your current and future compliance challenges with confidence.
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