SEC Marketing Rule 206(4)-1: What It Is and Why It Matters

The U.S. Securities and Exchange Commission (SEC) Marketing Rule, formally known as Rule 206(4)-1 under the Advisers Act, sets the standards for how investment advisers may advertise their services. The rule aims to protect investors from misleading marketing practices while giving firms a clear framework for promoting their expertise and results. Why Firms Need to […]

Off-Channel Communication Violations: A Wake-Up Call for Compliance

Over the past three years, the SEC has issued nearly $4 billion in fines for off-channel communication violations. The latest penalties—including $63 million against firms like Charles Schwab and Blackstone—are a reminder that keeping track of client communications isn’t just important, it’s required. From text messages and chat apps to social media and video meeting transcriptions, your firm needs to ensure its off-channel conversations are properly archived to stay compliant.

iMessage and WhatsApp Archiving with Whitelisting

We keep building to meet client feedback! As recently highlighted in an article by KGET, Archive Intel has introduced the addition of iMessage and WhatsApp with advanced whitelisting capabilities to our comprehensive archiving solution. In today’s fast-paced financial environment, advisors need reliable tools that seamlessly integrate with their preferred communication channels while ensuring compliance with […]

SEC Hits 16 Firms with $81M in Texting Fines

In a recent article, ThinkAdvisor highlighted the significant fines imposed on 16 firms, including Cambridge and Northwestern Mutual, due to deficiencies in their communication archiving practices. This news underscores the critical importance for financial advisors to have robust data archiving solutions to prevent such oversights. At Archive Intel, we understand the complexities and challenges that […]