SEC-Compliant Text Message Archiving: The $2.6B Warning RIAs Should Heed
Jul 14, 06:20 PM
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https://riacomptech.com/With $2.6 billion in recent fines, unarchived text messages create major compliance risks for RIAs, and even simple scheduling texts require proper archiving under SEC Rule 204-2, yet 95% of advisors use personal devices for client communications.