E-book: 4 smart ways to tackle digital compliance
“What is the one issue that you truly believe firms should address when tackling digital compliance?”
I recently asked four of my senior management team that exact question.
Download our new e-book to find out what they said.
Every financial firm records phone conversations with customers, to ensure compliance.
But digital compliance is also a regulatory requirement.
You are legally required to record all customer interactions and transactions via your website, mobile app, social media, and instant messaging channels. If you are unable to do so, your firm does not comply with the current record-keeping requirements of FINRA, SEC 17a-4, FFSA, and Fidleg, let alone upcoming regulations such as MIFID-II, GDPR, and the Department of Labor fiduciary rule, which all have fast-approaching deadlines.
Our new e-book “4 smart ways to tackle digital compliance” offers great advice on how to get, and stay, compliant.