Guide

Creating a Compliant Texting Policy

This guide will assist in building a comprehensive framework for your texting policy to help you avoid such a fate. Our goal is to provide you with a process to follow for policy development, as well as comprehensive guidance on the topics that need to be considered and how to incorporate them into your policy guide.

  • Corporate strategy, rules and technology considerations
  • Rules of advisor engagement
  • Critical considerations for financial advisors and supervision teams