Cost of non-compliant texting

Aug 10th '23

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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