The financial services industry is one of the most regulated
industries in the world. Regulators have turned their
attention to how the financial services firms are using and
managing real-time communications.
This includes:
- Instant Messaging
- Unified Communications
- Social Media
Among the regulators who have issued specific guidance
are:
- Securities and Exchange Commission (SEC)
- Financial Industry Regulatory Authority (FINRA)
- Financial Services Authority (FSA)
- Investment Industry Regulatory Organization of Canada
(IIROC)
However, financial services firms want and need to use new
communication and information tools to make decisions more quickly
and gain a competitive advantage.
Read more about the
issues of Unified Communications and Web 2.0 for the Financial
Services industry
The Actiance Platform
Firms such as the Principal
Financial Group, NetSpend and
Raymond James trust Actiance for securing their real-time
communications and helping them remain in compliance.
Our solutions for financial services firms include:
- Social Media Compliance
- Pre-review moderation of content
- Log and record online conversations in context
- Archive content for FINRA, SEC, FSA, & IIROC
compliance
- Social Media Enablement
- Share relevant and pre-approved content
- Ensure authenticity of voice
- Measure impact and increase engagement
- Social Media & Web 2.0 Security
- Granular control over use and access of features
- Malware prevention
- Unified Communications Security & Compliance
- Implement ethical walls
- Log and record conversations in context
- Archive content for FINRA, SEC, FSA, & IIROC
compliance
- Manage communications over Bloomberg, YellowJacket, Thomson
Reuters
- Instant Messaging Compliance
- Transactions done over IM are archived
Contact our team
today to find out how we can help you.