Compliant Text and Phone Calls between Advisors and Clients
In the USA, Book and Records requirements of FINRA and the SEC now include the need to maintain long term WORM (write once read many) storage of all electronic communications with clients, including text messages. A firm policy of no texting does not suffice, because if an employee is caught, that can trigger a failure to supervise violation by the firm. In Europe, Advisors also have to maintain WORM records of voice calls with clients. CellTrust SL2™ compliant enterprise SMS texting and voice platform for personally-owned (BYOD), corporate-owned (COPE) or Carrier Capture mobile devices is here to help you meet these requirements and provide supervision.
A SECURE COMMUNICATION PLATFORM FOR THE ENTIRE ORGANIZATION
Adoption of the SL2 Enterprise Capture platform organization-wide can simplify and secure communications, reduce costs and unleash the productivity of BYOD.
Features & Benefits
SECURE VOICE CALLS
Powerful on platform encryption for calls, traceability, and cost saving on roaming. SIM card or VOIP calling.
Text messaging with AES encryption in-transit and at-rest protects sensitive information and intellectual property on all SL2 app-to-app communications.
Device and carrier agnostic to support BYOD, COPE, COBO and mixed mobile strategies.
Easy tools for IT admins to control user permissions and enforce communication policies.
Senders receive proof their messages are delivered, opened or deleted.
SINGLE NUMBER REACH
Redirect calls to any phone or device.
Mobile Business Numbers (MBN) are delegated to the organization and assigned to employee devices which can be reassigned to other employees. All contacts and communication remain with the organization.
Apply remote wipe of work-only data if any device is lost, stolen or compromised.
COMPLIANCE TEAM HAS FULL CONTROL
SL2’s administrative dashboard is an easy to use and configurable management platform. Configure archiving settings, assign Mobile Business Numbers, set and change rules and policies, and correlate and supervise voice, text, chat activities and more.
DASHBOARD WITH FULL OVERSIGHT AND REPORTING
Compliance teams maintain full oversight and control through the SL2 Administrative Dashboard. At a glance, supervisory staff have near real time oversight of user activity, organizational units, devices, policies, MBN’s, archiving, system logs and more across their network to monitor usage and ensure enterprise policies. With the SL2 Reporting feature, compliance teams can filter and produce customized reports at the organization, group and user level on key data within their SL2 mobile communication network.
ON-BOARDING IS EASY
Once an MBN is provisioned by compliance or IT, the user can begin communicating immediately with all the integrated compliance and security features SL2 offers.
APPLY POLICIES TO WORK DATA ONLY
SL2 compliance controls only apply to work data via the MBN.
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