Compliance and Cell Phones in Business

Compliance and Cell Phones in Business

Unsung heroes - Compliance Officers and Specialists

Compliance officers not only define and take appropriate disciplinary measures to ensure compliance – but also constantly seek out tools to prevent regulatory compliance issues in the first place!

As compliance officers and specialists, you aren’t just auditors – you’re entrusted to ensure that organizations remain up-to-date on all regulatory issues according to company, industry, state, and federal regulations. Lastly, you also have to avoid becoming cynical, and handle being marked a nuisance, a window dresser or worse – by peers…

Cheer up – where cell phones business communication is concerned – we’ve got you covered!

Legislation mandating cell phone call recording is on a fast track, and the requirements to record and retain cell phone communications – voice, text, WhatsApp etc. – is already a regulatory decree in quite a few regions, especially in industries such as:

Regulators are becoming increasingly vengeful, and now target not just the guys in the trenches but more and more business leaders and owners  now begin to bleed. Overlooking regulatory infractions these days results in hefty fines and punitive actions that lead to financial loss or even personal criminal sanctions.

Just think about JP Morgan being slapped with a $200M fine for letting employees use WhatsApp on cell phones to evade regulators’ reach, well, you get the idea.

Cell phones use for business has become the blind spot monster of organizations – causing more, and bigger data losses by preventing logging and recording voice, text and other media into the organizations systems such as recording systems, CRMs, Billing etc.

We can help you slay the monster!

Identify and manage regulatory “Black holes” and blind spots

SEC Sweep on Wall street

SEC Compliance Crackdown “….The U.S. Securities and Exchange Commission (SEC) has opened a broad inquiry into how Wall Street banks are keeping track of employees' digital communications….
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FINRA Guidance on Text and messaging app

FINRA Rule 4511: “…with regard to its business through text messaging app or chat service must first ensure that it can retain records of those communications”
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SOX – “To protect Investors”

Sarbanes-Oxley “Call recording is beneficial to companies working to meet requirements, as it provides an auditable source of transactional information….”
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“..covered entities… may use mobile devices to access health information (as long as appropriate technical safeguards are in place…”
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Call Centers

Call Centers must comply with additional regulatory bodies such as: PCI, TCPA. TSR, HIPAA
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