Keeping Pace with Mobile Communication Surveillance

The ways in which we communicate with our clients has irreversibly changed. Have your policies and procedures relating to how you allow employees to communicate (and how you surveil these various communication channels) changed with it?

Advisers often use text, apps (such as WhatsApp), and messaging on social media in addition to phone calls and emails to communicate with clients. However, many firms do not archive these communications and therefore officially forbid the use of these communication channels for business in their policies (even though many of their employees are nevertheless increasingly using these platforms to conduct business).

In this webcast, our surveillance, compliance, and technology experts will discuss the latest client communication trends in the financial industry and what solutions are available to monitor and archive those communications.

Discussion Topics

This webcast will cover:

• Forms of communications that are prevalent
• Current archive and surveillance capabilities
• Managing personal vs. business communication surveillance with a bring your own device (BYOD) policy
• Regulators response to this shift in communication

Who Should Attend

This webcast is ideal for compliance and technology professionals in the financial industry involved with creating and supporting client communication surveillance policies and procedures.

Speakers

• Eddie Cogan, Partner, ACA Group
• Vivek Pingili, Director, ACA Group
• Kris Lau, Managing Director, ACA Aponix