Communications Archiving: Key Insights for State-Registered Firms

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 

Speakers 

• Rob Madi, Director of CX Enablement, COMPLY 
• Trent Lanning, Product Marketing Manager, COMPLY 
• Maddy Quast, Product Manager, COMPLY