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.
Is Your Firm Truly Covered?
Even if you’ve taken steps toward compliance, your firm may still be at risk. Outdated legacy systems and paying for multiple uncoordinated solutions often leave gaps, no matter how well-intentioned your compliance efforts. This fragmented approach can quickly add up in cost while still falling short of regulatory requirements.
Smarter Compliance Starts with AI
With increasing regulatory scrutiny, relying on incomplete solutions could mean costly off-channel communication penalties. Archive Intel’s AI Agent takes the burden off your team by:
- Handling 85% of all compliance tasks, including random reviews.
- Providing real-time alerts to identify potential issues before they escalate.
- Reducing false flags by up to 98%, ensuring your compliance team focuses on what truly matters.
By leveraging AI, Archive Intel empowers you to stay ahead of regulatory changes while connecting with clients on their preferred platforms—confidently and compliantly.
What About Other Communication Channels?
When we think about off-channel communication, texting apps like iMessage and WhatsApp are often top of mind, but they’re just the beginning. Don’t forget about video meeting transcriptions, social media platforms like Facebook and LinkedIn, websites, and even chat tools. Regulations could apply to any channel where business-related communication happens.
And if you’re worried about privacy, we’ve got you covered. Archive Intel offers text whitelisting, so YOU control what gets archived. Select which contacts remain private and which are archived, ensuring compliance without sacrificing your personal privacy.
Let’s Talk Compliance
We’re here to help, whether you’re new to Archive Intel or an existing customer looking to enhance your compliance strategy. Choose the option that best fits your needs:
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