Books and records rules require state-registered firms to capture and preserve every client communication – from emails to texts and beyond. But when those records aren’t stored in a compliant, tamper-proof format, firms risk exam findings and enforcement actions.
In this 30-minute session, Comply’s panel will discuss what state-registered firms need to know about communications oversight today, including:
- Key recordkeeping requirements – and why communications oversight is a top exam focus
- Why email backups alone aren’t compliant – and what regulators expect instead
- Plus, a showcase of Comply’s archiving solution – see how it captures email, social, and messaging in one place, simplifies review with an intuitive interface, and delivers exam-ready records in just a few clicks